MULTISTAGE ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT OF ROAD PROJECTS

ECONOMIC AND SOCIAL COMMISSION FOR ASIA AND THE PACIFIC
MULTISTAGE ENVIRONMENTAL
AND SOCIAL IMPACT ASSESSMENT
OF ROAD PROJECTS
GUIDELINES FOR A COMPREHENSIVE
PROCESS
UNITED NATIONS
ECONOMIC AND SOCIAL COMMISSION FOR ASIA AND THE PACIFIC
MULTISTAGE ENVIRONMENTAL
AND SOCIAL IMPACT ASSESSMENT
OF ROAD PROJECTS
GUIDELINES FOR A COMPREHENSIVE
PROCESS
UNITED NATIONS
New York, 2001
This publication is part of a series on environmentally sound road infrastructure development
and operations in the Asia-Pacific region. So far, this series consists of:
•
Road Transport and the Environment - Areas of Concern for the Asian and Pacific
Region
•
Road Development and
Environmental Damage
•
Multistage Environmental and Social Impact Assessment of Road Projects - Guidelines
for a Comprehensive Process
the
Environment
-
Methodologies
for
Minimizing
ST/ESCAP/2177
This publication was prepared, with financial assistance from the Government of Germany
through GTZ German Technical Cooperation, by Prof. T.F. Fwa and Prof. M.A. Aziz,
National University of Singapore.
The designations employed and the presentation of the material in this report do not imply
the expression of any opinion whatsoever on the part of the secretariat of the United Nations
concerning the legal status of any country, territory, city or area or of its authorities, or
concerning the delimitation of its frontiers or boundaries.
This publication has been issued without formal editing.
CONTENTS
Page
1.
INTRODUCTION
1
1.1
1.2
1
1.3
1.4
1.5
PART ONE
2.
Roads and environmental damages
Concept of a mandatory environmental impact assessment
of road projects and possible implementation problems in the
ESCAP region
Review of the existing EIA guidelines
Current issues concerning the EIA process in road
development in the ESCAP region
An improved EIA process for road projects
1.5.1
Multistage EIA process
1.5.2
Equal emphasis on social and environmental impacts
1.5.3
Legal framework, institutional coordination and
professional accountability
1.5.4
Effective public participation
2.2
5
6
8
9
9
10
ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT:
A MULTISTAGE PROCESS
ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT
PROCESS AND ITS DIFFERENT STAGES
2.1
2
3
Concept of a multistage ESIA framework
2.1.1
Environmental and social screening (ESS)
2.1.2
Initial environmental and social examination (IESE)
2.1.3
Environmental and social impact analysis (ESIAn)
2.1.4
Monitoring of environmental and social
measures (MESM)
2.1.5
Post-construction environmental and social
evaluation (PESE)
Integration of different stages of ESIA into various phases
of road projects
2.2.1
Road project conception and environmental
and social screening
2.2.2
Road project planning and appraisal and initial
environmental and social examination
2.2.3
Road project design and environmental and social
impact analysis
2.2.4
Road project construction and monitoring of
environmental and social measures
2.2.5
Road project operation and post-construction
environmental and social evaluation
iii
13
13
13
14
14
15
16
17
18
18
18
19
19
Page
3.
LEGISLATION AND LEGAL FRAMEWORK, INSTITUTIONAL AND
ADMINISTRATIVE INFRASTRUCTURE
3.1
3.2
3.3
3.4
3.5
3.6
3.7
4.
5.
7.
20
20
20
21
23
23
25
PUBLIC PARTICIPATION
27
4.1
4.2
27
28
Requirements for public participation
Formats for achieving effective public participation
INFORMATION AND DATA REQUIREMENTS
30
5.1
5.2
5.3
30
31
33
PART TWO
6.
Legislation and legal framework
Road project specific acts, policies and legal directives
Institutional and administrative infrastructure
Rules and regulations
Technical standards and benchmarks
Environmental training for persons involved in road
infrastructure development projects and transport operations
Enforcement Mechanisms
20
Types of information and data requirements
Methods of collecting information and data
Development and management of databases
GUIDELINES FOR A COMPREHENSIVE MULTISTAGE
ESIA PROCESS
FUNDAMENTAL APPROACH TO DEVELOP PRACTICAL
GUIDELINES FOR THE ESIA PROCESS
37
STAGE ONE: ENVIRONMENTAL AND SOCIAL SCREENING (ESS)
40
7.1
7.2
7.3
40
40
7.4
7.5
7.6
7.7
7.8
7.9
7.10
Objectives
Main tasks
Evaluation of potential environmental and social impacts
and prediction of impacts
National environmental laws and regulations
regarding environmentally and socially sensitive
elements and areas
Overall national planning and individual projects with
environmental and social significance
Recommendations
Public consultation and public participation
Technical standards and benchmarks
Consultation with experts
Responsibilities of respective agencies and coordination
between them
iv
44
44
44
44
45
45
45
45
Page
8.
STAGE TWO: INITIAL ENVIRONMENTAL AND SOCIAL
EXAMINATION (IESE)
8.1
8.2
8.3
8.4
8.5
8.6
9.
STAGE THREE: ENVIRONMENTAL AND SOCIAL IMPACT
ANALYSIS (ESIAn)
9.1
9.2
9.3
9.4
9.5
10.
11.
Objectives
Main tasks
Evaluation of potential environmental and social
impacts and prediction of impacts
Public consultation and public participation
Consideration of other relevant issues
Review of the contents of the initial environmental
and social examination report
Objectives
Main tasks
Consultation with the public and experts
Standards and benchmarks
Development of practical guidelines
9.5.1
Soil-related ESIA guidelines
9.5.2
Water-related ESIA guidelines
9.5.3
Air-related ESIA guidelines
9.5.4
Ecosystem-related ESIA guidelines
9.5.5
Landscape-related ESIA guidelines
9.5.6
Community-activities-related ESIA guidelines
9.5.7
Displacement- and resettlement-related ESIA
guidelines
9.5.8
Cultural-heritage-related ESIA guidelines
9.5.9
Noise-disturbance-related ESIA guidelines
9.5.10
Human-health and safety-related ESIA guidelines
46
46
46
46
49
49
49
51
51
51
54
54
54
56
57
58
59
60
61
62
63
64
65
STAGE FOUR: MONITORING OF ENVIRONMENTAL AND SOCIAL
MEASURES (MESM) DURING ROAD CONSTRUCTION
67
10.1
10.2
10.3
67
67
67
Objectives
Main tasks
Recommended guidelines
STAGE FIVE: POST-CONSTRUCTION ENVIRONMENTAL
AND SOCIAL EVALUATION (PESE)
72
11.1
11.2
11.3
11.4
11.5
72
72
72
72
73
Objectives
Main tasks
Benefits
Methodologies and best-practice guidelines
Recommended guidelines
v
Page
12.
SUMMARY AND CONCLUSIONS AND RECOMMENDATIONS
12.1
12.2
12.3
Current state of environment and status of EIA
implementation in the ESCAP region
Orientation of the Analysis
Conclusions and recommendations
REFERENCES
74
74
75
77
79
vi
LIST OF FIGURES
Page
1.1
1.3
1.4
2.1
2.2
2.3
2.4
2.5
2.6
3.1
3.2
3.3
3.4
4.1
4.2
4.3
5.1
6.1
6.2
7.1
7.2
7.3
7.4
8.1
8.2
8.3
8.4
Environmental and social damages that are caused by road
infrastructure development and traffic operations
Procedural issues and substantive parameters in the EIA process
Procedural situations of the EIA process in road development
Various environmental impacts caused by road development
on major substantive parameters
Important functions to be performed at the environmental and social
screening stage
Important functions to be performed during initial environmental
and social examination stage
Important functions to be performed during the environmental
and social impact analysis
Important functions to be performed during monitoring of
environmental and social measures
Important functions to be performed during the post-construction
environmental and social evaluation
Integration of different stages of the ESIA process into various
phases of the road development process
Institutional and administrative functions in the road-developmentrelated ESIA process
Some rules and regulations for road-development-related
ESIA implementation
Requirements of environmental training for persons involved in
road infrastructure development and transport operations
Agencies involved in various stages of the ESIA process in
road development
Important functions of public participation
Main inputs to a public participation programme
Various forms of public participation
Methods of gathering information and data collection for an
ESIA study
Main parameters and recommendations for a multistage ESIA
process for road projects
Practical guidelines for various procedural issues of the
multistage ESIA process for road development
Important tasks of environmental and social screening stage
List of typical questions that should be asked in the
environmental and social screening stage
General information and data to be gathered in the environmental
and social screening stage
Typical example of an environmental screening procedure
Main tasks of initial environmental and social examination
Terms of reference for the initial environmental examination
stage of an ESIA study for road development
Necessary information and data to be gathered for the initial
environmental examination stage of an ESIA study for
road development
Main components of a full-scale ESIA study for the road development
projects
vii
2
6
7
8
13
14
15
16
16
17
21
22
24
26
27
27
29
32
38
39
40
41
42
43
46
47
48
50
Page
9.1
9.2
9.3
9.4
9.5
9.6
9.7
9.8
9.9
9.10
9.11
9.12
9.13
9.14
10.1
10.2
10.3
10.4
10.5
11.1
11.2
Various adverse environmental and social impacts that may be
caused by road development projects on major substantive parameters
Comprehensive flow chart showing various environmental and social
impacts caused by road construction
Main tasks to be performed at the environmental and social impact
analysis stage
Recommended activities for environmental and social impacts analysis
of substantive parameters in each stage of the ESIA process
Recommended guidelines for mitigating soil-related adverse impacts
caused by road development projects
Recommended guidelines for mitigating water-related adverse
impacts caused by road development projects
Recommended guidelines for mitigating Air quality related adverse
impacts caused by road development projects
Recommended guidelines for mitigating adverse impacts to
ecosystem caused by road development projects
Recommended guidelines for mitigating adverse impacts to landscape
caused by road development projects
Recommended guidelines for avoiding/minimizing/mitigating the
adverse impacts on community activities adverse impacts of road
development projects
Recommended guidelines for mitigating adverse impacts of
displacement and resettlement caused by road development projects
Recommended guidelines for mitigating adverse impacts caused
by road development projects on cultural heritage
Recommended guidelines for reducing/eliminating adverse impacts
of noise caused by road development projects and traffic operation
Recommended guidelines for the protection of human health and for
ensuring safety from negative impacts caused by road development
projects and transport operations
Main tasks of monitoring environmental and social measures
during road construction
Recommended guidelines for monitoring environmental and social
measures during road construction
Guidelines for preparing a road construction checklist for mitigating
potential environmental impacts
Recommended guidelines that need to be incorporated in the
tender for contractors document during construction and
post-construction phases
Recommended guidelines to mitigate adverse environmental impacts
during road construction
Main tasks of post-construction environmental and social evaluation
Recommended guidelines for post-construction environmental
and social evaluation
viii
52
53
51
55
56
57
58
59
60
61
62
63
64
66
67
67
68
69
70
72
73
LIST OF ABBREVIATIONS
ADB
Asian Development Bank
EAP
Environmental Action Plan
EIA
Environmental Impact Assessment
ESIAn
Environmental and Social Impact Analysis
ESMP
Environmental and Social Management Plan
ESS
Environmental and Social Screening
ESCAP
Economic and Social Commission for Asia and the Pacific
IADB
Inter-American Development Bank
IESE
Initial Environmental and Social Examination
MESM
Monitoring of Environmental and Social Measures
OECD
Organization for Economic Cooperation and Development
PAF
Project Affected Family
PESE
Post –Construction Environmental and Social Evaluation
PMS
Pavement Management System
RAP
Resettlement/Rehabilitation Action Plan
SPAF
Seriously Project Affected Family
TOR
Terms of Reference
USAID
United States Agency for International Development
USEPA
United States Environmental Protection Agency
UNEP
United Nations Environmental Programme
VEC
Valued Economic Component
ix
GLOSSARY
Biodiversity
Biodiversity refers to the wealth of ecosystems in the
biosphere, of species within ecosystems, and of genetic
information within populations
Biota
A collective term which denotes all the living organisms in
a particular space
Casual water
Refers to standing water which results from roadwork
activities and is found in puddles, old tires and barrels on
or near construction sites
Checklist
A specific list of environmental parameters to be
investigated for possible impacts but does not require the
establishment of direct cause-effect links to project
activities
Cultural heritage
A concept referring to sites, structures and remains of
archaeological, historical, religious, cultural, social and
aesthetic values
Ecology
Study of interrelationships
environment
Ecosystem
A community and its environment (living and non-living
considered collectively)
Environment
The surrounding zone (the specific zone to be affected by
the project), all natural resources (physical and biological)
and human resources (people, economic development and
quality of life values)
Environmental impact
An effect (both positive and negative) on an environmental
resource or value resulting from infrastructure
development projects
Environmental impact
assessment (EIA)
A systematic procedure for enabling the possible
environmental impacts of infrastructure development
projects to be considered before a decision is made as to
whether the project should be given approval to proceed.
Environmental and social
screening (ESS)
A process of early determination of potential environmental
and social impacts of a infrastructure development project
Environmental and social
impact analysis (ESIAn)
To analyse in detail all aspects of environmental and social
impacts of development projects identified by the initial
environmental examination process for recommending
mitigation measures
Environmental
management plan
The synthesis of all proposed mitigative and monitoring
actions, set to a timeline with specific responsibility
assigned and follow-up actions defined
x
of
organisms
to
their
Indicators
Physical, chemical or biological attributes which provide
some indication of the health of an ecosystem
Initial environmental and
social examination
An initial environmental and social examination is the first
review of the potential impacts (effects) which the
proposed infrastructure development project will have on
both natural and social environments
Landscape
A subjective concept which includes a large number of
parameters such as relief, vegetation, buildings,
hydography and contour which can be perceived by the
eye and enjoyed by the senses
Monitoring
The term is used in several ways but generally refers to
the process of repeated observations and measurement of
environmental and social quality parameters to enable
changes to be observed over a period of time
Monitoring of
environmental and social
measures
To monitor proper implementation of EIA recommended
mitigation measures for adverse environmental and social
impacts
Post-construction
evaluation
To make necessary measurements of different parameters
to evaluate the effectiveness of mitigation measures
Public involvement
The
dialogue
encompassing
consultation
and
communication between a project proponent and the
public.
It includes dissemination, solicitation and
presentation of information
Rehabilitation/
Resettlement
A term often used to describe the process of reestablishing
lifestyles
and
livelihoods
following
resettlement.
The term is also used to describe
construction works that bring a deteriorated structure back
to its original conditions
Social impact
An effect (both positive and negative) on a social issue
resulting from infrastructure development projects
xi
1.
INTRODUCTION
1.1
Roads and environmental damages
Roads facilitate the movement of people and goods, establishing a direct linkage
between two places (travel points), origin and destination, with a single mode and with varied
means. Motorized road transport has thus become an integral element of modern life,
contributing to economic development and enhancing the quality of life. The demand for
roads within a country has increased tremendously as the mobility of urban, suburban and
regional commuters has increased, as has the transport of assorted agricultural produce,
industrial raw materials and finished products. The demand has further increased since road
transport has become the means of personalized transport. The remarkable economic
growth achieved in the last decade by most developing countries in the Asian and the Pacific
region has put a daunting pressure on infrastructure development, of which roads are the
starting point. Consequently, the construction, expansion and upgrading of the national road
network was already a major aspect of the economic development programmes in most
countries of the region in the past decade. This is expected to continue for at least the next
20 to 30 years.
The construction, maintenance and rehabilitation of roads, however, have caused
widespread environmental degradation. Poorly planned roads and bad practices in
construction, maintenance and rehabilitation have far-reaching and negative effects. The
resulting damages, in many cases, are permanent. The negative effects continue for a long
time and have lasting consequences. In such cases, the adverse impacts are so severe that
they offset their benefits of facilitated linkages, enhanced mobility and improved accessibility.
The extent and coverage of such damage is very extensive to the natural non-living,
natural living and human environment (figure 1.1). Road development projects have caused
minor to serious damage to land, water and air. They have disfigured topography and
landscape, damaged soils, disrupted drainage systems, contaminated water bodies and
deteriorated air quality.
Road development is a major source of damage to the natural living environment,
including ecological destabilization, habitat instruction, and damage to flora and fauna.
Road development is also a source of damage to the human environment, covering a
wide range of fields, particularly human settlements, activities, residences and workplaces,
health and safety. Displacement and resettlement caused by road development have
presented insurmountable difficulties to affected families and businesses. The sudden
accessibility by roads has resulted in a faster pace of life, disruption of lifestyles, and other
social impacts of external influences on communities and inhabitants who are ill prepared for
the rapid changes brought about by roads. Losses of community, religious and cultural
heritage have occurred. Roads also have contributed to poor health caused by air pollution
as well as the spread of dust, debris and waste. Road accident rates in many countries in
the region are 10 or even 100 times higher than the rates in developed nations, creating fear
and severe distress to inhabitants along the roads. The extent of the environmental damage
caused by roads is presented in figure 1.1.
1
Natural, human and social environment
Environment
Figure 1.1
Natural non-living
environment
Damages
Destruction of topography/physical features
Damage to landscape
Erosion and loss of productive soils
Soils contamination
Slope failures and mass movements
Disruption to surface water run-off system
Disruption of groundwater system
Contamination of waterbodies
Spread of dust, debris and waste in air, water and land
Natural living
environment
Forest destruction
Habitat intrusion
Ecological destabilization
Contamination of flora and fauna
Transmission of diseases
Human and social
environment
Disturbance to agriculture, horticulture and aquaculture
Disturbance to economic activities
Disturbance to human settlements
Disturbance to residences and workplaces
Adverse effects on human health
Adverse effects on safety
Impairment of aesthetics
Environmental and social damages that are
infrastructure development and traffic operations
caused
by
road
Such undesirable environmental and social impacts were still observed in ongoing
road projects as reported by a recently completed survey by ESCAP (2000).
1.2
Concept of a mandatory environmental impact assessment of road
projects and possible implementation problems in the ESCAP region
Environmental impact assessment (EIA) consists of a systematic investigation into
both positive and negative effects of a proposed development project on the natural and
human environments in short-term and long-term time frames. It helps develop environmentfriendly projects and seeks to reduce environmental degradation caused by development
initiatives (ESCAP 1990, 1996, 1997). It also provides a plan to reduce the negative
environmental effects of development projects through alternative approaches, design
modifications and remedial measures.
To identify and minimize the environmental damage caused by road infrastructure
development and transport operations, to reduce the adverse environmental impacts, and to
prevent further aggravation of the situation, the concept of a mandatory EIA for road
construction, maintenance and rehabilitation, as well as transport operations, has been
established as the initial and essential preventive strategy.
Although the concept of EIA is gaining increasing acceptance in the region, in many
countries, it has remained very much a planning tool on paper, and the implementation is
generally not very satisfactory. One of the major contributing reasons for the absence of EIA
in many road projects, and ineffective or incomplete implementation in other projects that did
include EIA, is the failure to introduce it as a planning tool early when the project was
2
conceived and planned (ESCAP 1998, 2000) and the failure to integrate it into the road
project cycle: conception, planning, design, implementation, and monitoring and evaluation.
There was a lack of general environmental awareness among administrators,
highway professionals, as well as the general public.
Road projects were mostly initiated based on economic needs without taking into
account environmental considerations. Except for a few major externally funded projects, the
quality of EIA reports was unsatisfactory. Throughout the region, EIA has been conducted in
a rather loose form, and often taken as a supplementary requirement, secondary to the
overall economic and engineering issues.
In most cases, baseline conditions could not be adequately defined owing to the lack
of relevant data. Historical and planning data were incomplete and records of completed
projects were often not available. Poor accessibility of environmental data and information
(including EIA reports of road projects) has created problems in EIA analysis and
implementation by both public agencies and private parties.
Despite the laws and regulations enacted in most countries, there was in general a
poor appreciation and understanding of the legal framework set out for EIA planning and
implementation.
A critical problem common to the region was the weak delineation of responsibility
and accountability in the planning and implementation of EIA. The respective roles of EIA
undertaking agencies (the road and highway authorities), and the EIA approving authorities
(the Ministry of the Environment, the Forestry Department etc) were, more often than not,
unclear and ill defined. Consequently, coordination between highway planners or designers
and environmental specialists was weak, ineffective and even totally absent.
In the road project cycle, the interrelationship between the undertaking and approving
authorities, and with parties (consultants and contractors) proposing measures to meet and
execute EIA requirements, is usually informal and not well set out.
Lack of commitment in EIA implementation among the decision makers and senior
management has been identified as a major hindrance to proper EIA implementation. This
has given rise to weak enforcement, absence of monitoring and lack of commitment from the
various agencies supposedly in charge of undertaking, approving and enforcing EIA.
The general public in the region were relatively weak in their environmental
awareness. Most were not aware of the consequences of environmental impacts caused by
road projects. Practically, there was negligible involvement of public and non-governmental
organizations in all the stages of road projects.
1.3
Review of the existing EIA guidelines
A survey of the commonly available published information reveals that the EIA
guidelines covering both general development projects and specific road transport
development projects were developed by bilateral and multilateral development agencies
and international organizations such as the United States Agency for International
Development (USAID), United Nations Environmental Programme (UNEP), United Nations
Economic and Social Commission for Asia and the Pacific (ESCAP); Asian Development
Bank (ADB); World Bank, Organisation for Economic Cooperation and Development
(OECD), and Inter-American Development Bank (IADB).
3
An extensive literature survey reveals the following existing EIA guidelines:
EIA guidelines covering general development projects:
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
Environmental Impact Assessment Guidelines Manual, United States Agency for
International Development (USAID), Washington, DC, 1974
Environmental Impact Assessment: Guidelines for Planners and Decision Makers
(ST/ESCAP/351), ESCAP, 1985.
Environmental Impact Assessment: A Management Tool for Development Projects
(ST/ESCAP/762), ESCAP, 1988.
Environmental Impact Assessment – Basic Procedures for Developing Countries,
United Nations Environmental Programme, Nairobi, 1988.
Environmental Assessment Sourcebook, Vols.1-3, World Bank, Washington DC,
1991.
Environmental Guidelines for Selected Infrastructure Projects, Asian Development
Bank, Manila, 1993.
Environmental Impact Assessment – Good Practice Guide, United Nations
Environmental Programme, Nairobi, 1995.
Strengthening Environmental Impact Assessment Capacities and Preparation of
Environmental Guidelines, Asian Development Bank, Manila, 1996.
EIA guidelines specific to road development projects:
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
“Environmental impact assessment of road transport development: the state-of-theart in selected countries of the ESCAP region”, background paper submitted to the
Seminar on the EIA of Road Transport Development, ESCAP, Bangkok, 3-8
November 1986.
“Report of the ESCAP/UNEP Seminar on Environmental Impact Assessment of Road
Transport Development”, ESCAP, Bangkok, 3-8 November 1987.
Environmental Impact Assessment of Road Transport Development: The State-ofthe-Art in Selected Countries of the ESCAP Region, ESCAP, Bangkok, 1988.
Environmental Impact Assessment:
Guidelines for Transport Development,
(ST/ESCAP/785), ESCAP, 1990.
Environmental Impact Assessment of Roads, Organisation for Economic Cooperation
and Development (OECD), Paris, 1994.
Roads and the Environment: A Handbook, Report TWU 13. Transport Division,
World Bank, Washington DC, 1994.
Environmental Assessment in the Transportation Sector – Guidelines for Managers,
Inter-American Development Bank (IADB). Washington DC, 1996.
Roads and the Environment: A Handbook, Transport Division, World Bank Paper
No. 376, Washington DC, 1997.
Most countries in the region have already developed environmental impact
assessment for development projects. Countries such as Australia, China, India, Japan,
Malaysia, the Philippines, the Republic of Korea and Thailand have also developed EIA
guidelines for road projects. A brief review of the EIA guidelines adopted by some
international organizations and some countries in the Asia-Pacific region was made and
some basic differences among them were noted. Some had statutory status and were
compulsory. Some dealt mainly with the procedural aspects rather than the technical
aspects of EIA, while others dealt with both. Some guidelines concentrated mainly on the
procedure for EIA preparation, leaving procedures for reviewing to the agencies responsible
for implementation. All the guidelines, however, stressed the importance of carrying out EIA
at the earliest stage possible. All dealt in detail with EIA format and various steps to be
4
taken, while some stressed the importance of an environmental management plan which
included mitigating measures, monitoring and environmental auditing.
At the regional level, ESCAP attached high priority to the integration of environmental
considerations into development project planning. It organized a number of inter-agency,
intergovernmental and expert group meetings on EIA related to general development
projects and also road transport development projects. However, none of the countries in the
ESCAP region has guidelines for a comprehensive process for road projects on how
environmental agencies can effectively perform the EIA process.
1.4
Current issues concerning the EIA process in road projects in the
ESCAP region
Since EIA has been conducted rather loosely in the region, and often taken as a
supplementary requirement secondary to the overall economic and engineering issues, the
first issue is to reorient the conventional planning method and process of road projects.
Parallel to the consideration of economic benefit for road projects, equal emphasis should be
given to environmental protection.
Against the present one-shot EIA, the process should be integrated into the project
cycle from the beginning and continued through, and the environmental professionals need
to be involved in the entire process. A strong coordination and interrelationship between
various environmental professionals, particularly EIA undertaking agencies and approving
authorities, needs to be maintained.
The present EIA process refers mostly only to broad environmental considerations,
such as national forest and wildlife conservation, historical sites, critical land features and
water bodies, guided by general environmental protection laws. For a better protection of the
natural and human environment, the substantive level of environmental consideration needs
to be augmented to cover particular aspects.
Until now, the substantive issues covered concentrate on avoiding pre-defined
circumstances or environment. Integration of detailed mitigation measures into the standard
engineering design, taking care of the majority issues, could successfully get the job done.
Consequently, there would be no need for a lengthy EIA report and list of mitigation
measures in each project. The standard mitigation measures incorporated into the design
should directly transform into standard construction contracts, which would automatically
comply with the measures.
In the context of public participation helping to mitigate environmental and social
damages during the project cycle, it is important to note that many damages will only surface
and be felt after the end of the road construction and the beginning of transport operations.
While the number of people affected and the magnitude of direct impacts during the road
construction phase are usually limited and relatively easy to deal with, the post-construction
consequences tend to last for a long period of time and cover a much wider area
geographically. In addition, in the context of the ESCAP region, the adversely affected
population are usually dispersed along a long stretch of the road and their voice is often not
heard in the implementation of road projects.
As shown in figure 1.2, procedural issues and substantive parameters are two major
aspects to be considered in EIA implementation. The major concerns for each procedural
issue and substantive parameter are presented in figures 1.3 and 1.4 respectively.
5
Procedural
issues
Institutional infrastructure and legal frameworks
Extent and scope of EIA requirements
Stages of the EIA process
Information and data for EIA
EIA implementation at various stages
Enforcement of EIA recommendations
Public participation
Substantive
parameters
Soil
Water resources
Air quality
Ecosystem
Landscape
Community activities
Displacement and resettlement
Cultural heritage
Noise
Human health and safety
Requirements for
the multistage
EIA process
Figure 1.2
1.5
Procedural issues and substantive parameters in the EIA process
An improved EIA process for road projects
For effective implementation and compliance with a mandatory EIA in the developing
countries of the region, a comprehensive EIA process for road projects needs to be in place,
encompassing the planning, design and implementation phases as well as follow-up analysis
and monitoring.
The main focus of this study is to address the EIA implementation issues
encountered in the ESCAP member countries, analyse them and propose a comprehensive
process for an effective EIA of road projects. The main issues of the EIA process for road
projects in the region are discussed based on a review of the existing EIA process in the
region and an assessment and evaluation of several recent studies. The justification for an
improved EIA process, which contains the following elements: multistage process; equal
emphasis on social issues; legal framework, institutional coordination and professional
accountability; and public participation, is presented below.
6
Procedural situations of the EIA process
Institutional infrastructure and
legal frameworks
Protection and conservation of the environment in relation to road specific projects
EIA as an integral part in the road project approval process
Policy framework regarding integration of EIA in the road project cycle
Actual integration of EIA in the road project cycle
Monitoring and evaluation for compliance
Extent and scope of EIA
requirements
Extent and scope of EIA requirements for different road types
Institutional and technical capabilities and financial resources to support EIA
activities
Full integration of EIA in planning, design, construction, operation and follow-up
Stages of EIA process
Stages of the EIA process to be systematically followed
Topics in the EIA study
Main environmental issues to be focused on
Appropriate know-how and expert group
Clear options for the mitigation of impacts and for a sound environmental
management plan
Information provided to planners and decision makers in a useful format
Information and data collection
Availability of general planning data
Coordination effort in data collection by different agencies
Adequacy of available data
Reliability and compatibility of available data
Road project specific standards and norms
Effectiveness of available standards and norms for EIA
Maintenance of monitoring records
Institutional framework for coordinated data collection
Guidelines on methods of data collection and the agencies responsible
Accessibility of EIA data and information by the public and non-governmental
organizations
EIA implementation at
various stages
Commitment among politicians, senior government officials and decision makers
Political and management interference in EIA implementation
Road specific EIA guidelines
Quality of EIA reports
EIA implementation largely restricted to international donor funded projects
Institutional and administrative framework for implementation of EIA
recommendations
Enforcement of EIA
recommendations
Enforcement of EIA recommendations
Institutional infrastructure
Environmental awareness and relevant agencies
Budget and manpower in enforcing and monitoring authorities
Proper guidelines and standards
Site inspection and monitoring
Public participation
Public participation
Guidelines on how to involve the public in the EIA process and to carry out public
hearings
Institutional arrangement to conduct public hearings
Guidelines for acquiring information, data and feedback from the public
Provision of public involvement at various stages of the road EIA process
Figure 1.3
Procedural situations of the EIA process in road development
7
Substantive parameters
Soil
Water
Environmental impacts on substantive parameters
Ecosystem
Air
Community activities
Displacement and resettlement
Cultural heritage
Landscape
Human health and safety
Figure 1.4
1.5.1
Environmental impacts
Slope failure and mass movements
Soil erosion and modification of surface relief
Sedimentation of roadside waterbodies and drains
Loss of productive topsoil in borrow areas
Soil contamination
Modification in flow of surface water and groundwater
Modification of surface and groundwater during construction and
consequent drying and flooding
Water quality degradation by waste materials, equipment lubricants,
fuels and detergents
Sedimentation of surface waterbodies
Damage, fragmentation or loss of habitat and biodiversity
Destruction of vegetation
Disappearance of reproduction and food zones for fish, aquatic and
migratory birds
Contamination of biota
Transmission of diseases
Increase in poaching and subsequent hunting and fishing
Air quality deterioration/degradation – caused by dust and vehicle
emissions generated through construction activity, construction
machinery and vehicular traffic
Split community
Disintegration of social activities
Disruption of traditional modes of transport
Loss of road side community business
Degradation of road side environment owing to ribbon development
Displacement of both private and public institutions and utilities
Displacement of settlements, business and properties
Problem with resettlement for households, properties and utilities
Problem with basic utilities in displaced and resettlement areas
Damage of sites, structures and remains of archaeological, historical,
religious and cultural value
Degradation of aesthetic value of historical and cultural monuments
Destruction of natural relief (caused by major cut and fill)
Change in natural drainage pattern
Destruction of vegetation and trees
Deforestation and desertification
Transmission of diseases
Contamination of local water supplies
Air pollution
Noise disturbance
Road accidents
Obstructions/unsafe conditions owing to presence of road side poles,
ditches, trees, steep slopes and barriers
Disturbance by vibration
Various environmental impacts caused by road development on major
substantive parameters
Multistage EIA process
The conventional road development process is detached from environmental
considerations, focusing basically on issues of economic and technical feasibility. This has
led to widespread environmental degradation evident in many developing countries. In view
of the potential severity of the damaging effects of road development on the environment, it
8
is now widely accepted that a critical assessment of a road development project is
incomplete without an EIA study.
To provide a complete assessment of the concerns identified in figure 1.2, it is
necessary that an EIA process be developed in such a manner that it provides both shortterm and long-term impacts evaluation over the full lifetime of road projects. This calls for the
integration of the EIA process into the full cycle of road development, ranging from the initial
road development conception phase to post-construction operation, maintenance, and the
long-term monitoring and evaluation phase. In other words, the EIA process must be a
continuous programme spanning over the entire road development process.
As decision-making in the different phases of road development requires appropriate
environmental impact information, the EIA process must be planned and programmed to
offer the required information in a timely manner. The roles and responsibilities of highway
planners, design engineers and environmental specialists must be specified. Road planners
and environmental specialists must work together through all the stages of the road
development process. For example, at the initial road project conception phase, an
indication of the overall efficiency and environmental impacts is needed to assist in the
feasibility assessment of the project. During the road project planning phase, inputs on major
environmental impacts of different alternatives are needed. Both qualitative and quantitative
environmental impact assessment will be needed next to provide the necessary data for the
comparison of different alternatives. At the road construction phase, implementation of
environmental remedial measures becomes the main focus. Finally, environmental
monitoring and evaluation must be in place for the in-service operational phase of the
constructed road.
1.5.2
Equal emphasis on social and environmental impacts
The term environmental impact assessment has been in common use ever since the
idea was conceived and promoted in the second half of the last century to incorporate the
evaluation of environmental impacts and the needed mitigation measures into the road
development process. In the early days of the application of EIA, the major emphasis was
largely restricted to the adverse impacts on the physical environment and their direct effects
on affected inhabitants. It is now clear that this is inadequate as there are other equally
substantial impacts and consequences in respect of the social and economic environment of
the people directly affected by the road construction, as well as a large group of people and
communities which are adversely affected even long after the project has been completed.
There is a need to place equal emphasis on both the traditionally considered impacts on the
physical natural environment as well as the human environment.
To correct the misconception about the restricted meaning of EIA, which is rather
widespread among the developing countries in the ESCAP region, it is proposed that a
revised term environmental and social impact assessment (ESIA), be adopted to stress the
need to accord equal emphasis to both the natural and the human environments, and to
accurately convey the concern over the negative impacts of road development projects on
the human environment. The various aspects of the human environment to be covered in
ESIA will include an evaluation of the impacts on the general social and environment issues,
encompassing health, safety, economic well-being, security, social values, cultural heritage,
community cohesiveness etc.
1.5.3
Legal framework, institutional coordination and professional accountability
To achieve environmentally-friendly roads which is crucial for the long-term economic
and social well-being of any nation, the importance of an integrated approach to the
9
provision of road infrastructure cannot be overemphasized. It requires ESIA input to the
traditional road development process at all stages and at all levels. Of particular importance
is the introduction of environmental and social impact considerations at the very beginning of
the process of road development, during the initial conception phase. An effective
institutional framework must be set up to achieve the needed coordination among policy
makers, planners, highway authorities, environmental agencies, consultants and specialists,
and other related public and private organizations, as well as the general public. For
conducting an ESIA, a well-defined legal framework is essential.
Detailed institutional arrangements are required to provide the needed legal
framework, coordination among agencies, and the responsibility and accountability of each
party in the entire ESIA process. Owing to the relatively large number of parties involved and
the lengthy procedures necessary in a properly executed ESIA process, a strong
commitment by the government and politicians to the cause of ESIA is vital.
1.5.4
Effective public participation
Effective public participation is an integral component of a successful ESIA process.
Public involvement and public-private partnership help raise the awareness of the
environmental and social implications of road projects. They also provide the necessary
input to minimize the negative impacts of the projects. This requirement for effective public
participation is particularly challenging for the ESCAP region because of the following
difficulties: (i) a generally low level of awareness concerning the forms and consequences of
adverse environmental and social impacts of road projects; (ii) lack of effective dialogue
mechanisms or channels in many ESCAP member countries; (iii) political or social structure
in many developing countries is not conducive for active interaction between authorities and
the general public; (iv) traditional culture and social belief prevailing in some of the member
countries do not encourage proactive questioning of official policy or plans; (v) general
mistrust of the government departments by the general public; (vi) practically no women
participation due to social constraints in many developing countries. Approaches that are
tailored for implementation locally must be explored and adopted to achieve active public
participation in the ESIA process.
10
PART ONE
ENVIRONMENTAL AND SOCIAL IMPACT
ASSESSMENT: A MULTISTAGE PROCESS
2.
ENVIRONMENTAL AND SOCIAL IMPACT
PROCESS AND ITS DIFFERENT STAGES
2.1
Concept of a multistage ESIA framework
ASSESSMENT
For effective protection of the natural, human and social environment from the
damages caused by road infrastructure development and traffic operation (see figure 1.1),
the preventative tool of mandatory environmental and social impact assessment needs to be
further developed and improved. Unlike the present one-shot EIA, the multistage ESIA
concept refers to a quasi-continuous integrated process which consists of the following five
successive stages:
(a)
(b)
(c)
(d)
(e)
environmental and social screening (ESS)
initial environmental and social examination (IESE)
environmental and social impact analysis (ESIAn)
monitoring of environmental and social measures (MESM)
post-construction environmental and social evaluation (PESE).
For each of the above stages, the word “social” has been included to highlight the need to
assess social impacts at every stage of the ESIA process; and the importance of
considering social and environmental impacts concurrently.
2.1.1
Environmental and social screening (ESS)
This stage marks the beginning of the ESIA process, which should be initiated as
early as possible along with the road planning process after the road project is first
conceived. During this stage, the important functions that need to be performed is shown in
figure 2.1.
Important Functions
Establish the likely study area by identifying broad boundaries for the road
project.
Make a preliminary assessment of the significance of potential environmental
impacts, and likely mitigating measures.
Identify possible alternatives and the major potential environmental impacts
associated with each, as well as the likely corresponding mitigation measures.
Estimate the extent and scope of ESIA to be performed, and offer an initial
recommendation as to whether a full ESIA is required.
Estimate the time frame of the ESIA study.
Identify the expertise and human resources needed for the ESIA study.
Prepare the terms of reference for the conduct of an initial environmental
examination.
Figure 2.1
Important functions to be performed at the environmental and social
screening stage
13
The value of conducting environmental and social screening at the early conception
and planning phase of a road development project is to provide useful technical input to the
road project team for their planning and budgeting, thereby eliminating the possibility of
costly remedial environmental work and delays caused by problems with adverse
environmental damage. Such early input on environmental considerations also provides
useful information that helps the project team to gain government approval and win public
acceptance.
The environmental and social screening process considers the following aspects in
the recommendation: project type, environmental and social setting, and magnitude and
significance of potential environmental and social impacts. Some of the typical questions
asked in the environmental and social screening process are outlined in figure 7.2. Such a
checklist is useful for agencies in which experienced expertise is not readily available.
2.1.2
Initial environmental and social examination (IESE)
The initial environmental and social examination is essentially a preliminary
environmental impact evaluation to review the environmental integrity of a road project by
assessing the potential environmental and social impacts. Important functions of this stage
are highlighted in figure 2.2.
Important Functions
To ascertain the need for the nature of ESIA study
To prepare the terms of reference
To prepare the procedure to be followed
To collect additional information and data
To anticipate both positive and negative impacts
To suggest measures to avoid, mitigate or compensate adverse impacts.
To chalk out procedures for monitoring and evaluation during construction and
post-construction stages
Figure 2.2
Important functions to be performed during the initial environmental
and social examination stage
If the initial environmental and social examination results conclude that a full-scale
ESIA is not required, then the mitigation measures and action plan should be prescribed for
the project, and no further ESIA is required. This is usually the case for small road projects
where no significant adverse environmental and social impacts are anticipated. On the other
hand, in the case of large road projects for which a full-scale ESIA is recommended by the
initial environmental and social examination study, further information and data collection
and more elaborate environmental and social analysis will be needed to either confirm or
improve on the proposed mitigation measures and the action plan. Based on the findings of
the IESE, terms of reference for the proposed environmental and social impact analysis
should be prepared, complete with a recommended budget.
2.1.3
Environmental and social impact analysis (ESIAn)
The findings of the environmental and social screening study and initial
environmental and social examination study form the basis for identifying the key issues that
14
merit full analysis in the ESIA. Other issues that deserve only a brief discussion should also
be mentioned and a supporting rationale offered. The important functions to be performed
under the environmental and social impact analysis are shown in figure 2.3. Data collection
is time consuming and costly. A minimum period of one year would be required for data
collection taking into account of seasonal variations. Furthermore, necessary equipment
and expertise are also not generally available.
To collect all possible information and data from various sources.
Important Functions
To properly identify alternatives
To systematically analyse both environmental and social impacts of different
alternatives
To design environmental and social mitigation measures
To develop an environmental and social management plan
To develop an effective monitoring programme to evaluate the successful
implementation of mitigation measures during construction
To develop an effective post-construction evaluation programme
Figure 2.3
Important functions to be performed during the environmental and
social impact analysis
The end product of the environmental and social impact analysis is an ESIA report
that provides decision makers with information regarding the important environmental
issues, the impacts of various alternatives, proposed mitigation measures, and
recommendations of the relative desirability of different alternatives. The evaluation should
take into account three major factors: (i) cost, (ii) achievement of project objectives, and (iii)
adverse environmental and social impacts.
Owing to the large amount of detailed, supporting information and data needed, an
ESIA report is typically rather lengthy with in-depth analysis and evaluation. This makes its
use and comprehension difficult for most users. Presenting important information and
findings in the form of informative tables, graphics and maps is a necessity. Tables, graphs
and bar-charts are useful for comparing the quantifiable impacts of different alternatives, and
presenting the contrast of before and after conditions. Flow diagrams can be employed to
highlight the sequential and interactive nature of events. Maps are especially effective in
dealing with geographical impacts and location sensitive issues. The extent and severity of
area-wide environmental and social impacts can be emphasized with graphical
representations meaningful to users who may not be familiar with technical terms.
2.1.4
Monitoring of environmental and social measures (MESM)
Monitoring of environmental and social measures is an important stage of the ESIA
process that deals with the implementation of recommendations during the road construction
phase. It comprises essentially “follow-up” activities after the approval of the ESIA report.
Based on its findings, the monitoring of environmental measures defines the scope of
environmental monitoring with respect to the remedial measures to be implemented, and the
substantive environmental and social impacts to be addressed. Important functions of the
monitoring of environmental and social measures as a major component of the ESIA
implementation are shown in figure 2.4.
15
To ensure that the procedures recommended in the approved ESIA report are
adhered to by the various agencies.
Important Functions
To ensure that the environmental and social mitigation and enhancement
schemes are well understood and communicated to all involved parties,
including the general public.
To ensure that the proposed environmental and social remedial measures are
implemented during the project execution stage.
To evaluate the effectiveness of environmental and social remedial measures.
To evaluate the effectiveness of various evaluation techniques and procedures
Figure 2.4
Important functions to be performed
environmental and social measures
during
monitoring
of
The key to the success of applying the monitoring of environmental and social
measures is to clearly define the agency responsible for its implementation, and to establish
an evaluation and reporting procedure. Experience has shown that either the environmental
agency or the road authority could be tasked to implement such monitoring (World Bank
1997). In view of the special knowledge and expertise needed and possible conflict of project
interests, the environment agency would be the ideal independent party to perform the
monitoring of environmental and social measures.
Another substantial aspect of the monitoring of environmental and social measures
during implementation is to evaluate the effectiveness of the recommended remedial
measures and effectiveness of the evaluation techniques themselves. But environmental
agencies may not be suitably staffed or equipped to undertake monitoring. In such a case, a
better approach would be to hire reputable and experienced consultants for this job.
Guidelines with respect to various substantive parameters need to be established. Such
guidelines are covered in part two.
2.1.5
Post-construction environmental and social evaluation (PESE)
Important
functions
Post-construction environmental and social evaluation is the last stage of the entire
ESIA process. It is a “follow-up” activity initiated after the end of road construction.
Important functions to be performed during the stage of post-construction environmental and
social evaluation are given in figure 2.5.
Figure 2.5
Short-term functions (within three years) to evaluate
quality and effectiveness of implemented ESIA recommended measures
appropriateness of the design, and construction
immediate post-construction environmental and social impacts
Long-term functions (beyond three years) to evaluate
quality and effectiveness of the implemented environmental and social
measures to various substantive parameters
design and construction appropriateness
Important functions to be performed during the stage of postconstruction environmental and social evaluation
16
The follow-up studies of the post-construction environmental and social evaluation
are classified as short-term and long-term activities. Short-term activities refer to those
conducted within three years after the end of road construction. Activities taking place
beyond the three-year period are grouped under the long-term category. Short-term activities
focus mainly on the quality and effectiveness of the implemented environmental and social
remedial measures, the appropriateness of the design, and measurements of immediate
post-construction environmental and social impacts. Long-term activities will continue to
monitor the environmental and social impacts with respect to various substantive
parameters. It will also evaluate the long-term effectiveness of the environmental and social
remedial measures.
2.2
Integration of the different stages of ESIA into various phases of road
projects
The road development process has five phases: (a) conception, (b) planning, (c)
design, (d) construction, and (e) operation. To ensure that sustainable economic and social
growth can be achieved through the implementation of a road development programme, it is
necessary that ESIA be carried out giving full consideration to environmental requirements in
all the five phases. This section presents the guidelines for ESIA implementation in the five
phases.
The multistage framework of the ESIA process must be fully integrated with the road
development cycle. ESIA implementation is an ongoing process that should extend to cover
the full life cycle of the road constructed, covering the post-construction road maintenance
and operation as well. It is important to ensure that the ESIA process should be activated
with the initiation of environmental screening as and when the road project conception phase
commences. It is equally important to ensure that the ESIA process must not be terminated
prematurely with the conclusion of the road construction project. It must be continued into
the post-construction environment evaluation stage, covering the entire life cycle of the road
concerned. Figure 2.6 shows the integration of the five stages of ESIA of road projects into
the corresponding five phases of road projects.
Phases of a road project
Stages of ESIA for road projects
ESS
IESE
ESIAn
MESM
PESE
Conception
Planning
Design
Construction
Operation
Note:
ESS
IESE
ESIAn
MESM
PESE
Figure 2.6
= environmental and social screening
= initial environmental and social examination
= environmental and social impact analysis
= monitoring of environmental and social measures
= post-construction environmental and social evaluation
Integration of different stages of the ESIA process into various phases of
the road development process
17
A description of the various phases of road projects in conjunction with the
corresponding stages of ESIA is discussed in sub-sections 2.2.1 to 2.2.5.
2.2.1
Road project conception and environmental and social screening
In most cases, the development of new roads is conceived at the policy level, along
with a master plan for city or regional development. The development strategies adopted
and the constraints imposed at the conception stage have wide-ranging effects on the
environmental, social and construction issues in the subsequent stages of the road
development process. Performing a comprehensive, system-wide, macro-analysis of the
master plan must be considered at this stage along with a consideration of the socioeconomic implications and environmental impacts.
The overall efficiency and the impact of the proposed road development need to be
evaluated at this conception phase because remedial considerations can be incorporated to
achieve the best results. Hence, the environmental and social screening stage of the ESIA
process should be initiated during this phase of road development. It serves the important
function of identifying projects that would potentially create adverse environmental and social
impacts and short-listing these projects for further examination.
2.2.2
Road project planning and initial environmental and social examination
The road project planning process consists of identifying goals and developing
alternatives. It includes taking inventories, and forecasting economic and transport needs.
Inventories are conducted to determine current conditions and existing facilities as a basis
for predicting the future situation. The environmental and social screening is reviewed and
the initial environmental and social examination of ESIA play important roles during this
phase of road projects.The environmental and social screening identifies the probable
adverse environmental and social impacts of the proposed road project, while the initial
environmental and social examinaiton provides estimates of the impacts to ascertain if a fullscale ESIA is needed. The road authority must work closely with environmental specialists
on various substantive parameters (both environmental and social) in order to arrive at the
correct assessment.
2.2.3
Road project design and environmental and social impact analysis
In this stage of the road development process, the viable alternatives identified
during the planning stage are simultaneously considered and compared with one another to
determine the best option. The effectiveness of various mitigation measures and the
environmental scheme is assessed and the best are recommended to meet prescribed
criteria and requirements. This falls within much of the scope of the environmental and
social impact analysis stage of the ESIA process. Based on the findings of the environmental
and social screening and initial environmental and social examination, the analysis examines
in detail all the major aspects of the environmental and social impacts of the road project.
The analysis also make recommendations on suitable remedial measures for each of the
adverse environmental and social impacts analysed.
18
2.2.4
Road project construction and monitoring of environmental and social
measures
The implementation phase of the road development process encompasses detailed
design, right-of-way acquisition, and construction. The required ESIA activities in this phase
consist of incorporating the recommendations of the ESIA report into the final design,
implementing pre-construction mitigation schemes, and executing recommended
environmental and social measures during the actual construction of the road. These
activities cover three stages of the ESIA process, namely the environmental and social
impact analysis stage which produces the ESIA report with the environmental and social
management plan, the monitoring of environmental and social measures stage which
ensures that the procedures recommended in the approved ESIA report are adhered to by
the various agencies, and the post-construction monitoring and evaluation stage during
which monitoring and evaluation will be performed on those mitigation measures
implemented during various stages of the project construction period. For effective
implementation of the recommended environmental and social measures, a combined team
of road engineers and environmental specialists is required for the work in this phase.
2.2.5
Road project operation and post-construction environmental and social
evaluation
The post-construction environmental and social evaluation phase extends beyond
the end of the construction of a road. It examines the performance of the road during its
service life. The ESIA implementation during this phase ensures that adverse environmental
and social impacts are properly controlled, and helps to identify good practice and
technology for road construction. These cover both the short-term and long-term
environmental and social impacts of the road project. Hence, it involves the monitoring of
environmental and social measures as well as the post-construction monitoring and
evaluation stage of the ESIA process. As post-construction road maintenance and
operations constitute an ongoing phase of the entire life cycle of the road development and
management, it is important that the post-construction environmental and social evaluation
must also monitor and evaluate the impacts of these activities. It is important that the
engineers responsible in this phase be familiar with various environmental and social
requirements. Regular consultation with environmental specialists is recommended.
19
3.
LEGISLATION AND LEGAL FRAMEWORK, INSTITUTIONAL
AND ADMINISTRATIVE INFRASTRUCTURE
3.1
Legislation and legal framework
To incorporate environmental and social considerations into every phase of the road
infrastructure development process and to ensure an appropriate formulation of mitigation
measures and effective implementation of these measures, a sound legislation and legal
framework must first be established. A holistic approach must be adopted to develop a
comprehensive set of legislation to adequately cover the overall policy of environmental
protection in road development. The attributes of sound legislation and legal frameworks
are: (a) to have road project specific acts, policies and legal directives, incorporating
environmental requirements; (b) to develop institutional and administrative infrastructure with
clearly defined roles and responsibilities for road and environmental agencies; (c) to
formulate rules and regulations concerning operations, procedures and methodologies; (d) to
set up technical standards and benchmarks; (e) to arrange environmental training; and (f) to
develop enforcement mechanisms.
3.2
Road project specific acts, policies and legal directives
General environmental and social acts or policies not directed specifically at road
projects do not create the necessary conducive conditions for ESIA of road projects. They
have not been found effective in promoting ESIA implementation in the road sector. The
development of road specific acts, policy and legal directives should be undertaken as the
first step in the overall efforts to establish the legal framework.
Road specific environmental and social acts or similar legislation would assign
responsibility to an agency for conducting and managing the road-project-related ESIA
process. In most countries, the road authority is the appropriate agency to be assigned this
responsibility. Environmental and social assessment acts are desirable, with the creation of
an environmental and social assessment agency to oversee the conduct of ESIA by
agencies such as the road authority. The ministry of environment and the Ministry of Social
Welfare are normally responsible for developing all environmental laws, policy statements,
regulations and directives. The environment ministry or authority should also be mandated
with the responsibility to incorporate ESIA into the various phases of road infrastructure
development.
A common weakness of general legislation or acts on the present EIA process has
been their inadequacy in addressing the responsibility requirements at different stages of the
process. The legislation and relevant acts should mandate an adequate ESIA coverage for
road projects of different scales, and explicitly identify the agencies responsible for the
enforcement and execution of the implementation of ESIA. In every stage, the roles of the
roads and environment agencies should be stated to ensure an integrated approach
incorporating environmental and social considerations into road infrastructure development.
3.3
Institutional and administrative infrastructure
The various stages of the ESIA process involve more than one government agency
and different management levels within each agency. The success of the implementation of
ESIA in road development depends heavily on the ability of the road agency’s management
20
personnel, in collaboration with specialists from other agencies such as the environment
authority, to take appropriate actions throughout the various stages of the entire road
development process. There is a need to define the roles and responsibilities of the
agencies clearly both horizontally and vertically.
Figure 3.1 identifies the common
institutional and administrative functions that need to be performed in the ESIA process.
Various salient features of the institutional requirements include: (a) the institutional context
within which a road agency is expected to carry out ESIA for a road development project; (b)
the transformation of the initial mandate to promote environmental and social assessment
into an environmental and social assessment act; (c) follow-up actions after environmental
and social assessment, (d) supportive functions of the environmental and social assessment
agency; and (e) interaction of the road agency with other government agencies.
Defining policy directions for the road agency in light of policy directives from the
environmental agency
Drafting terms of reference
Assembling teams to conduct environmental assessments (where the leadership
of a generalist with an environmental background is highly desirable)
Ensuring internal coordination within the road agency (for example, to integrate
the results of studies with action plans)
Common
management
functions
Negotiating with other administrations (for example, environment, agriculture,
planning) and clearly establishing supervisory authority where responsibilities are
shared
Staying abreast of, developing and enforcing regulations
Defining priorities
Organizing public consultations and participatory processes
Implementing mitigation plans
Developing methods and operational tools for environmental awareness at policy,
programme, project and operations levels
Organizing training and information campaigns
Figure 3.1
3.4
Institutional and administrative functions in the road-developmentrelated ESIA process
Rules and regulations
The road infrastructure development project itself and the implementation of
environmental protection schemes or damage mitigation measures involve the
responsibilities of national, regional and local governments, as well as requirements by
financial and legal institutions. Failure to observe rules and follow regulations would delay or
jeopardize the smooth implementation of ESIA in a road project. Appropriate rules and
regulations should be compiled or developed to facilitate the execution of ESIA
implementation. Two main categories of rules and regulations can be identified: (a) rules
21
and regulations concerning procedures, and (b) rules and regulations concerning
methodologies. Listed in figure 3.2 are some rules and regulations for ESIA implementation.
Rules and regulations
Rules and regulations for ESIA implementation
Concerning procedures
Concerning methodology
Figure 3.2
Some rules and
implementation
Implementation
Submission of the ESIA report
Qualification of professionals who prepare ESIA reports
Evaluation and acceptance of ESIA report
Public hearings conducted
Interviews and surveys conducted
ESIA contracts awarded
Resettlement of households and businesses
Compensation for resettled households and businesses
Cultural sites and historical monuments restored
Removal of vegetative cover and cutting of trees
Land clearing
Imposition of access control
Encroachment of restrictive areas or natural reserves
Encroachment of farmlands
Preservation of wildlife migration routes
Hill cutting and protection
Siting of borrow pits and quarries
Protection of surface water run-off system
Maintenance of drainage network and irrigation
requirements
Maintenance of biodiversity
Preservation of topography and physical features
Work zone traffic management
Work zone safety measures
Dust control at construction sites
Construction work intervention by the concerned authority
Preparation of initial environmental examination report
and format requirements
Preparation of ESIA report and format requirements
Evaluation of environmental impacts for each of the
substantive parameters
Prediction of environmental impacts for each of the
substantive parameters
Development of remedial measures for each of the
substantive parameters
Evaluation of effectiveness of remedial measures
Prediction of traffic volume
Preparation of questionnaire and survey forms
Comparison of alternatives
regulations
22
for
road-development-related
ESIA
3.5
Technical standards and benchmarks
Standards and benchmarks need to be established in road infrastructure
development and transport operations to provide the evaluation basis for a diverse range of
environmental protection measures. These include quality standards for soil, air, water and
noise disturbance for the protection of natural, human and social environments,
archaeological sites and public health and safety. Mitigative measures are often based on
the degree to which damages change the environment, relative to standards. There are also
standard techniques to ensure consistency and uniformity in assessment. Assessment of
environmental and social damages by adopting appropriate methodologies may simply refer
to the appropriate standards without providing details, except where they are particularly
relevant. In the monitoring of the effectiveness of environmental and social mitigation
schemes, the regulatory standards should be stated in road infrastructure development
project documentation or be readily available.
National benchmarks and targets for various aspects of ESIA implementation should
be established as part of the long-term programme towards full implementation of a
comprehensive ESIA process. While long-term national benchmarks and targets can be set
with respect to regional and international benchmarks and targets, realistic short- and
medium-term national benchmarks and targets should be developed for effective phased
implementation of the ESIA process within the practical means of the country.
3.6
Environmental training for persons involved in road infrastructure
development projects and transport operations
The proper long-term functioning of the institutional and management infrastructure
requires the service of knowledgeable professionals and trained technical supporting staff.
Environmental training is needed for authorities and professionals who do not have the
required knowledge or experience. University degree holders in relevant disciplines are
required to hold responsible positions for interpreting environmental policy and evaluating
alternatives with respect to their relative merits and degree of conformance to regulations
and standards. These include such disciplines as environmental science, engineering and
physical sciences. For countries in the beginning stage of building up their ESIA capability,
sending existing staff for environmental training overseas may be necessary to acquire the
needed expertise.
For other professionals and technical supporting staff in the road agency who are
involved in road development projects and transport operations but are unfamiliar with the
requirements of the ESIA process, training programmes should be conducted to increase
their environmental awareness and to enhance the level of conformity with environmental
policies and standards. Figure 3.3 lists the groups of people in a road agency who require
environmental training.
Special training programmes, such as short courses, seminars, workshops and
conferences, are some of the ways and means by which environmental awareness and
related technical capability can be improved. During the early stage of developing ESIA
capability in the private sector, the relevant authority or tertiary educational institutions may
organize training courses to impart the required knowledge and skills. Subsequently,
periodic seminars and workshops should be conducted to provide an update on new
requirements. The effective implementation of the complete ESIA process also calls for
competent consultants in formulating environmental mitigation measures and preparing
quality ESIA reports, as well as capable contractors to carry out the proposed environmental
protection measures satisfactorily.
23
Environmental training
Persons by responsibility
Training requirements
Decision makers
Environmental awareness programmes
Principles of environmental policy-making
Interpretation of relevant policy directives
Policy officers
Environmental awareness programmes
Principles of environmental policy-making
Rules and regulations concerning the procedures and methodology in ESIA for
road projects
Interpretation of relevant policy directives
On-the-job training with environmental agency
Project managers
Environmental awareness programmes
Rules and regulations concerning the procedures and methodology in ESIA for
road projects
Preparation of environmental assessment reports
Methodologies of ESIA implementation
Interpretation of relevant policy directives
Formulation of environmental remedial measures
Enforcement of environmental remedial measures
Format of public participation and implementation
Implementation of monitoring programme
Techniques of data management and development of databases
Methods of interaction with stakeholders and the public
Engineering professionals
Environmental awareness programmes
Evaluation of environmental impacts
Environment-related standards and guidelines for engineering design
Formulation of environmental remedial measures
Methodologies of ESIA implementation
Enforcement of environmental remedial measures
Format of public participation and implementation
Methods of data collection and presentation
Methodologies monitoring effectiveness of ESIA implementation
Supporting technical personnel
Environmental awareness programmes
Measurements of environmental and social impacts
Environment-related standards and guidelines for engineering design
Enforcement of environmental remedial measures
Methods of information and data collection and presentation
Site supervisors
Environmental awareness programmes
Measurements of environmental and social impacts
Environment-related standards and guidelines for engineering design
Rules and regulations for ESIA implementation
Enforcement of environmental remedial measures
Methodologies monitoring the effectiveness of ESIA implementation
Road project consultants
Methods of interaction with stakeholders and the public
Environmental awareness programmes
Evaluation of environmental and social impacts
Environment-related standards and guidelines for engineering design
Formulation of environmental remedial measures
Methods of information and data collection and presentation
Road Project Contractors
Environmental awareness programmes
Environment-related standards and guidelines for engineering design
Rules and regulations for ESIA implementation
Figure 3.3
Requirements of environmental training for persons involved in road
infrastructure development and transport operations
24
3.7
Enforcement mechanisms
Effective enforcement of ESIA requires the clear delineation of the respective roles
and responsibilities of concerned agencies, coordinated inter-agency arrangements,
institutional strengthening of environmental agencies including those responsible for ESIA,
improved enforcement of environmental laws and regulations, and strict application of
penalties for non-compliance. It is necessary to formalize and strengthen the arrangements
for the involvement of all stakeholders in the enforcement of the ESIA process.
Properly set out legislation and directives provide the necessary mandate to perform
ESIA in road projects. Clear definitions must be given for the type and scale of projects for
which ESIA is mandatory, and the extent of ESIA needed to be performed in each. Effective
enforcement during implementation of the ESIA process is undoubtedly a major requirement
to achieve the overall goal of environmental protection. Rules for penalties of noncompliance should be explicitly stated and be adhered to strictly.
There should be a clear description of the designation and responsibility of those
agencies or departments that are to perform the following duties: (a) authorization to conduct
the ESIA process, (b) evaluation of ESIA reports, (c) acceptance of ESIA reports, (d)
execution of the ESIA process at various stages of road development, and (e) postconstruction assessment of environmental and social impacts. Figure 3.4 lists the agencies
that are likely candidates to be designated for each stage of the ESIA process.
25
Environmental and social impact assessment (ESIA)
Stages of EIA/ESIA
Agencies involved
Environmental
screening
Environmental authorities (central and regional)
Road agencies (central and regional)
Selected experts
Initial environmental
examination
Environmental authorities (central and regional)
Road agencies (central and regional)
Other sectoral agencies
Advisory expert groups
Appointed IEE consultant
Selected stakeholders and interest groups
Environmental and
social impact analysis
Environmental authorities (central and regional)
Road agencies (central and regional)
Other sectoral agencies
Municipalities
Advisory expert groups
Appointed ESIA consultants
Selected stakeholders and interest groups
General public
Property developers and owners
Shortlisted potential contractors
Monitoring of
environmental
measures
Post-construction
environmental
evaluation
Figure 3.4
Environmental authorities (central and regional)
Road agencies (central and regional)
Other sectoral agencies
Advisory expert groups
Appointed ESIA consultants
Road project consultants
Road project contractors
Monitoring personnel
Environmental authorities (central and regional)
Road agencies (central and regional)
Other sectoral agencies affected
Advisory expert groups
Road maintenance contractor
Monitoring personnel
Evaluators for compliance
Agencies involved in various stages of the ESIA process in road
development
26
4.
PUBLIC PARTICIPATION
The ESIA process is incomplete without effective public participation. Public
participation is an integral part of the ESIA process. Important functions of the public
participation is shown in figure 4.1.
Important Functions
Affected parties and inhabitants should be informed in advance so that they can
make the necessary arrangements to minimize adverse impacts;
Information should disseminated to all interested parties, professionals and the
general public so that they can develop informed opinions and provide useful
input;
It presents a useful channel for the collection of specific environmental and
social information through the local people;
Effective communication with the affected parties and individuals helps to dilute
opposition to the road project concerned;
Cooperation from informed residents and groups can lead to substantial
savings in costs and time;
Consultation and dialogue with local inhabitants can lead to cost-effective
environmental remedial measures by means of indigenous techniques using
locally available materials and manpower.
Figure 4.1
Important functions of public participation
Guidelines on the requirements for public participation and the formats of achieving
effective public participation are presented in the following sections 4.1 and 4.2.
4.1
Requirements for public participation
Important Functions
A successful public participation programme requires the following three elements to
be effectively executed: dissemination of information to the stakeholders; solicitation of
information from affected parties and inhabitants; and consultation with interest groups and
the public. The first two elements are usually applied in the early stages of the ESIA process,
and are particularly useful in the environmental screening stage. The consultation element is
required in the environmental and social impacts analysis stage when detailed information is
needed for the analysis of alternatives and their impacts. The main inputs to a public
participation programme are shown in figure 4.2.
Agency responsible for executing the public participation programme
Identification of stakeholders
Mechanism by which stakeholders can obtain relevant project information
Procedure by which stakeholders are to channel their feedback and opinions
Telephone numbers and addresses of the contact persons
Examples of topics for which public opinions and feedback are required
Figure 4.2
Main inputs to a public participation programme
27
4.2
Formats for achieving effective public participation
To achieve effective public participation in the ESIA process, it is necessary to study
the profile of communities and inhabitants, to plan in advance how the relevant information
will be disseminated and solicited, and how consultation will be conducted to obtain the
needed feedback. Depending on the profile of the stakeholders, their cultural and
educational background, different formats of executing the public participation programme
may be adopted. The following nine formats of public participation should be practised
(World Bank 1997):
(a)
Public displays: This format includes displays in public areas, project specific
exhibitions, distribution of newsletters and leaflets. Though passive in nature,
contact numbers and addresses can be gathered to encourage feedback;
(b)
Interview survey: Interviewers are trained to conduct face-to-face interviews with a
selected representative of the stakeholders. Special survey forms should be
designed with a pre-defined set of questionnaires to gather socio-economic
information and data, opinions, priorities and concerns. Responses, usually in the
form of short answers, are recorded by the reviewer on the standard form. Experts
should be engaged to design the interview survey;
(c)
Questionnaire and written survey: Questionnaires and printed survey forms should
be distributed by mail or other convenient means to a representative sample of
people. Professional assistance is required in the design of the questionnaire and
the survey form and the interpretation of the test results;
(d)
Public hearings: This is a formal form of public meeting that includes official
announcements in official circulars or public media. It is organized with a well
defined agenda format and rules. However, the specific arrangement may vary from
country to country, allowing for prevailing cultural approaches to collective decisionmaking and handling of public disagreement. Formal notes or minutes are recorded,
along with the names of participating individuals and their affiliations. Special
attention should be paid to the methods of announcement and the choice of meeting
venue and time to achieve the maximum possible attendance and participation. An
experienced and respected moderator who can facilitate effective discussions is
crucial to the success of a public hearing;
(e)
Local meetings: In rural areas where the public hearing format is not applicable, a
series of meetings with local residents and communities may be organized to gather
feedback and concerns. Local meetings are less formal than a public hearing and
they are an effective means to communicate project details to the local community
and receive their response;
(f)
Interest group consultation: Public hearings may not be suitable for special
professional groups or individuals who are unlikely to speak up in public forums.
Separately arranged meeting sessions with different professional groups would
provide an appropriate avenue for consultation to receive professional views and
advice;
(g)
On-site discussions: On-site discussions are needed to better understand specific
environmental and social issues and formulate suitable remedial measures. Such
visits are often conducted with potential contractors to ensure that the issues are
understood and potential remedial measures are discussed;
28
(h)
Rapid social appraisal: This covers less formal forms of data collection methods such
as informal interviews, less-structured forms of social survey, and focus group
discussions. They are less time-consuming and less costly;
(i)
Rapid rural appraisal: When time and other resource constraints prevent an
elaborate public participation programme, a rapid appraisal covering a large sutdy
area may be adopted. This can be conducted by a multidisciplinary team comprising
project officers, community development experts, technical specialists and local
representatives.
Various forms of public participation are presented in figure 4.3.
Public displays
Interview surveys
Public participation
Questionnaire and
written surveys
Poster displays in public areas
Open exhibitions
Distribution of newsletters and leaflets in crowded areas
such as shopping centres, bus stops, markets etc.
Publicity or advertisements in mass media such as
newspapers, radio and television
Home interview surveys to selected households
On-street interview surveys with randomly selected
individuals
Telephone surveys of selected households
Mailed questionnaire or survey forms requesting a written
reply
Public hearings
Official open feedback session with pre-planned agenda,
with formal presentation followed by discussions
Local meetings
Small-scale informal meetings, each with a selected
group at a location convenient to the local residents
Interest group
consultation
On-site discussion
Informally arranged meetings or discussions, each with a
specific interest group
Specially arranged official dialogue sessions, each with a
selected professional group or society
On-site discussions with residents to better understand
local problems and concerns
On-site discussions with potential consultants and
contractors to size up the magnitude of problems and
possible remedial measures
Rapid social appraisal
Ad hoc information and data collection methods such as
informal interviews, less-structured forms of social
surveys and discussions
Rapid rural appraisal
Field inspection tours conducted by the project team
together with community development experts, experts in
selected disciplines and local representatives
Figure 4.3
Various forms of public participation
29
5.
INFORMATION AND DATA REQUIREMENTS
5.1
Types of information and data requirements
The types of information and data requirements vary with the various stages of the
ESIA process. At the environmental screening stage, a broad range of general information
and data covering all the substantive parameters (both environmental and social) is needed.
This is followed by gathering more detailed information and data for the subsequent stages
of ESIA. During the road construction and implementation of environmental remedial
measures, measurements made in the process of monitoring environmental conditions
should be compiled promptly for timely corrections or adjustments of field activities. Upon
completion of the construction project, the as-constructed conditions should be surveyed and
filed for the purpose of post-construction environmental evaluation, which should be
supported by subsequent long-term data collection efforts.
The types of information and data requirements for decision-making during the ESIA
process can be grouped into five categories: existing environmental conditions, standards
and norms, conditions during construction, as-constructed conditions, and post-constructed
conditions.
(a)
Existing environmental conditions: These are the baseline conditions describing the
physical characteristics of the pre-project situation. They cover the built and visual
environment, as well as the biological and socio-economic conditions. Depending on
the environmental and social impacts identified as important for the project
concerned, information may be required of some or all of the substantive parameters
(both environmental and social).
(b)
Standards and norms: Standards for environmental design, safety and operations, as
well as norms for civil works and construction for various types of road projects are
needed to assess the adequacy of the mitigation measures and construction
methods proposed by the consultants and the contractors.
(c)
Conditions during construction: Environmental and social impacts during the road
construction phase, although of a temporary nature, can create unbearable
inconvenience to the affected community and inhabitants. Some of the adverse
impacts may last beyond the construction period. A system of regular monitoring and
reporting must be established.
(d)
As-constructed conditions: The as-constructed conditions, in various items
corresponding to the pre-project “existing environmental conditions” should be
surveyed and recorded. In addition, the physical characteristics of the road
constructed, including the material and structural data, should be recorded. The two
sets of information should form the basis for the assessment of the environmental
and social impacts of the road project.
(e)
Post-construction conditions: Many of the environmental and social impacts of road
projects are long term in nature. Monitoring of such long-term impacts requires the
evaluation of post-construction changes of environmental and social conditions
during the service life of the road. This monitoring activity is an extension of the
information and data collection efforts for the “as-constructed conditions”.
30
5.2
Methods of collecting information and data
Based on the scope of the ESIA established for the road project concerned, the party
responsible for the preparation of the ESIA report must develop a data collection plan. The
data collection plan should comprise the following main elements: (a) identifying the types of
information and data needed for the given scope of the ESIA; (b) defining the time frame for
the collection of information and data; and (c) determining the methods of information and
data collection suitable for the project.
Data collection, compilation, documentation and management is the responsibility of
the road agency responsible for the road development project. The environmental agency,
however, must be represented in this effort to ensure that relevant information and
appropriate data are collected and documented properly. The typical methods of data
collection of existing environmental and social conditions consist of the following:
(a)
Database search: This is probably the first step in the data collection efforts to gather
all the data available from ready sources. The availability of good databases of
relevant information greatly reduce the costs, time and efforts needed to collect the
baseline conditions. The results of this search will identify the information gaps and
needs, thereby forming the basis for formulating the data collection plan;
(b)
Drawings and maps: Officially published drawings and maps as well as unpublished
drawings for internal use within government agencies are of great use for an ESIA
study. They offer a valuable basis for the initial assessment of the potential
environmental and social impacts based on spatial relationships. Good drawings and
maps could be relied on to estimate the impacts on ecosystems, topography,
landscape, drainage, vegetation and the built environment;
(c)
Physical site inspection: A number of visits to the study areas must be made to verify
the information and data already collected through other sources. Efforts should be
made to collect data to fill the gaps;
(d)
Interviews with residents and officials of local authorities: This is a useful avenue to
collect information and data which is not readiliy avaialble from official records and
databases. Such information and data should include community needs, social and
cultural activties, and existing environmental and social conditions;
(e)
Consultations and discussions with experts and experienced officials: Input and
interpretation by professionals and experienced officials are important sources of indepth information and data valuable for decision-making concerning the choices of
alternatives for environmental measures;
(f)
Visits to and interaction with key government departments and ministries: Interaction
with various government departments and ministries is needed to identify constraints
and additional information specific to the individual departments and ministries;
(g)
Questionnaires and surveys: Questionnaires and surveys are often employed to
obtain feedback and opinions from a representative sample of stakeholders. Survey
forms must be specially designed to provide the needed information.
A summary of the type of information and data that should be obtained through
various methods is given in figure 5.1.
31
Database search
Gathering of information and collection of data
Physical site inspection
Identify the physical characteristics of the study area
Establish baseline conditions of the existing state of natural
and human environmental conditions
Identify potential environmental impacts
Identify information gaps for the ESIA study
Formulate data collection plan and suitable data collection
methods
Verify information obtained from other sources such as data
search
Update data collected from other sources
On-site evaluation of field conditions
Identify potential environmental impacts
Formulate environmental remedial measures, including
measures employing indigenous methods and local
materials
Interviews
Obtain feedback from stakeholders, including affected
residents and community
Solicit views of local officials and regional authorities
Collect opinions of local interest groups
Questionnaires and
surveys
Obtain feedback from a representative sample of
stakeholders
Establish preference of affected residents and community
on different schemes of action
Solicit ideas on how certain remedial measures should be
implemented
Identify issues of common concern
Consultations and
discussions
Seek advice from experts and professionals on specialized
topics
Obtain views from experienced officials on implementation
plan
Receive in-depth information on selective issues
Interaction with
government agencies
Obtain additional data
Receive views of officials from other government agencies
Establish inter-agency coordination for ESIA implementation
Seek supporting information and services not otherwise
available
Figure 5.1
Methods of gathering information and data collection for an ESIA study
32
5.3
Development and management of databases
The development of network-wide databases and information centres is probably one
of the most neglected aspects of the implementation of the ESIA guidelines. An apparent
reason is the amount of costs and resources needed. Another reason is the difficulty in
coordinating and collating information and data from the large number of agencies under
different involved ministries. The development of databases is a major long-term undertaking
requiring the commitment of the central administration at the authority or at the ministry level.
There is a need to set up a unit within the road agency devoted to the development,
maintenance and management of the database. This special effort is required to generate
the specific information and data for the road-transport-related ESIA process. As far as the
road authority is concerned, there is already an accepted practice in some developed
countries to include a pavement management system within the road authority
establishment. Many developed countries in the ESCAP region require their road agency to
implement systematic pavement management measures, which include the maintenance of
a road management database. There are also trends to do the same in many developing
countries of the region. While information and data have not been a required item in the
pavement management system database, it should be logical to expand the database to
cover the needs of ESIA. A standard pavement management system database usually
contains the basic inventory of the road network infrastructure, as well as the condition of the
road pavements over time. The ESIA database can simply be an added module to the
pavement management system module.
33
PART TWO
GUIDELINES FOR A COMPREHENSIVE
MULTISTAGE ESIA PROCESS
6.
FUNDAMENTAL APPROACH TO DEVELOP
GUIDELINES FOR THE ESIA PROCESS
PRACTICAL
The fundamental approach to developing practical guidelines for the multistage ESIA
process for road projects should address the following main parameters:
(1)
(2)
(3)
(4)
(5)
(6)
Focusing on the main issues
Involving appropriate professionals and groups
Consulting the public
Linking information and data to the decision-making process
Presenting clear options for mitigating adverse environmental and social impacts
Providing information and data in a form useful to road agencies, donor agencies,
planners, engineers and decision makers.
The main parameters and recommendations for the multistage ESIA process of road
projects are presented in figure 6.1.
Practical guidelines for the multistage ESIA process are required for procedural
issues, such as institutional infrastructure, legislation and legal frameworks, extent and
scope of the ESIA requirements, information and data, and public participation. Figure 6.2
provides the necessary guidelines for each of the procedural issues.
It is equally important to develop practical ESIA guidelines for various roaddevelopment-related substantive parameters not only environmental, such as soil, water, air,
ecosystem and landscape, but also social, such as community activities, displacement and
resettlement, cultural heritage, noise, air and water pollution, human health and safety.
Practical guidelines for these substantive parameters at different stages of the ESIA process
are systematically presented in Chapter 9 under standardized formats, such as objectives
and main tasks, evaluation of potential environmental and social impacts and their
prediction, national environmental laws and regulations regarding environmentally and
socially sensitive elements and issues, overall national development planning and individual
projects with environmental and social significance, public consultation and public
participation, technical standards and benchmarks, consultation with experts, responsibilities
of respective agencies and coordination between them.
37
Main parameters
Focus on main issues
Fundamentals of ESIA guidelines
Involve appropriate
professionals and groups
Do not try to cover too many topics in too much detail
Report only relevant information and data
Do not make a large and complex report with extensive works which are
unnecessary and counter-productive
Make findings easily accessible and immediately useful to project-planners
and decision-makers
Focus the study only on workable and acceptable solutions to problems
Concentrate on practical measures which should be totally acceptable to the
relevant authority
Provide a brief summary of information and data relevant to the needs of
concerned decision-making groups
Be selective when involving people in the multistage ESIA process
Select those who can manage and undertake the multistage ESIA study
Select those who can contribute ideas, facts and figures to the multistage
ESIA study
Public participation
Consult affected groups and local non-governmental organizations
Carry out consultation through the multistage ESIA preparation
Involve active participation in the consultation process
Link information and data
to decision-making
Organize the multistage ESIA study in such a way that it directly supports the
many decisions to be taken about the proposed road project
Start early enough to provide relevant information and data in several stages
of the road development process to the decision makers to improve their
basic conception, applying environmental considerations to aid the selection
process, helping in anticipating problems and developing mitigation
measures
Submit a complete multistage ESIA report for project approval along with
recommendations for a public hearing
Present clear options for
mitigating adverse
environmental impacts
Provide information and
data in a form useful to
road agencies, engineers,
planners and decision
makers
Figure 6.1
Recommendations
Design the multistage ESIA process to present clear choices on planning,
decision and implementation of the road project
Propose design features of pollution control technologies; encourage
reduction, reuse, recycling, treatment and disposal of waste materials
Arrange appropriate compensation for resettlement of the affected groups
Suggest several alternate sites
Propose programme that should contribute in a positive way to local
environmental resources and improve the quality of life
Ensure environmentally sound planning and implementation of the road
project
Include monitoring programmes for implementing environmental measures
and post-project evaluation
Ensure that environmental problems are foreseen and are addressed by the
planners, engineers and decision makers
Make sure that the road agencies and decision-makers can fully understand
the basic concept of a multistage ESIA process
Present information and data in terms and formats that are meaningful and
useful to planners and decision makers
Present quantitative information of various impacts
Make a critical review of the reliability of information and data incorporated at
different stages of the ESIA process
Summarize the consequences of each of the proposed options
Use terminology and vocabulary that are easily understandable by road
agencies, aid agencies, engineers, planners and decision makers
Main parameters and recommendations for a multistage ESIA process
for road projects
38
Procedural issues
Guidelines
Institutional infrastructure,
legislation and legal
framework
Formulate institutional infrastructure and legal framework specifically for road development
Formulate strong national policy and well-defined strategy for the road-development
related ESIA process
Strengthen the interrelations of different stages of the road-related ESIA process
Use the multistage ESIA concept as a management tool in preventing adverse
environmental impacts
Enforce environmental policies on ESIA-based road projects
Strengthen the legal framework for improving enforcement of ESIA recommendations
Step up efforts for the training of qualified professionals to improve the quality of the
multistage ESIA and its implementation
Include requirements for road projects to allocate adequate budget for the implementation
of the multistage ESIA process during construction and post-construction phases
Develop training programmes to raise environmental awareness of senior government
officers and road development professionals
Provide adequate funding and staff responsible for implementation and monitoring of the
ESIA recommendations
Procedural issues in the ESIA process
Extent and scope
Follow essential steps for preparing a proper multistage ESIA report
Carry out environmental screening and initial environmental examination before
proceeding with the full multistage ESIA study
Cover road-project-specific topics in a concise format
Carry out environment and social impact analysis to ensure that the ESIA study
addresses all the important issues to the road agencies, aid agencies, engineers,
planners and decision makers
Identify all possible anticipated environmental impacts
Focus on the main environmental issues
Involve appropriate know-how and expert groups
Link information to the planning and decision-making about the road project
Present clear options for mitigating environmental impacts and for preparing an
effective environmental management plan
Provide information in a useful format to the planners and decision makers
Stages
Information and data
Public participation
Figure 6.2
Define clearly and concisely the extent and scope of ESIA requirements for different
road categories
Strengthen institutional and technical capabilities of responsible agencies for conducting
ESIA studies
Simplify the terms of reference of the multistage ESIA for road development
Integrate the multistage ESIA process into the project cycle, particularly at feasibility,
detailed design, and construction supervision and monitoring stages
Prepare environmental impact management plan and checklists
Prepare manual for the guidelines for an environmental performance audit and
post-construction evaluation
Include strategic environmental and social impact assessment in the multistage
ESIA process to address cumulative and network level impacts
Set up an effective institutional framework to coordinate multi-agency data collection
Set up a centralized database system in order to save cost and time for ESIA report
preparation, thereby facilitating ESIA implementation
Develop specific environmental standards and norms for road projects
Emphasize commitment to enforce environmental data collection for the entire road
development process, including the construction phase and post- construction
monitoring phase
Ensure easy accessibility by the public to the ESIA data and reports in order to
facilitate non-governmental organizations, relevant government agencies and
public participation in the ESIA process
Develop practical manuals for public participation and carry out public hearings
Set up strong institutions to conduct public hearings
Incorporate effective procedures for acquiring data and information from the public
regarding the adverse impacts of the road project
Put into practice the provision made for public participation in the road-development
related ESIA legislation
Improve transparency of the ESIA process and facilitate public access to information
for the active participation of the public, non-governmental organizations and
professionals in the process
Identify and develop effective channels to reach out to the general public to encourage
public participation at each stage of the ESIA process for road development
Practical guidelines for various procedural issues of the multistage
ESIA process for road development
39
7.
STAGE ONE:
(ESS)
ENVIRONMENTAL AND SOCIAL SCREENING
7.1 Objectives
The main objective of environmental and social screening is the early determination
of the potential magnitude of environmental and social impacts of a road development
project. Environmental and social screening will (a) provide information regarding the scale
and type of project; (b) identify a list of valued ecosystem components; (c) establish the
general nature and magnitude of the potential environmental and social impacts; and (d)
suggest the most appropriate ESIA process for the road project.
Environmental and social screening is actually a process for ascertaining what can
and what cannot be accomplished during a particular environmental and social impact study.
This should (a) define the geographical boundary of the study area in relation to possible
impacts; (b) identify time constraints and time horizons of the study; and (c) estimate the
skills and human resources needed to undertake the project.
7.2
Main tasks
At the environmental and social screening stage, eight main tasks as shown in figure
7.1 need to be undertaken.
To highlight the need for a road project
To describe the proposed road project and alternatives
Main Tasks
To identify the valued ecosystem components
To evaluate the potential impacts of road project options on the
valued ecosystem components within the project study area
To consult the local people, officials and experts on options and
impacts in order to establish institutional capacity and environmental
lessons learned in the study area
To encourage the public participation during consultation
To select the preferred project option
To identify the ESIA type to be applied to the preferred project option.
Figure 7.1 Important tasks of the environmental and social screening stage
Many enquiries should be made and many questions should be asked in the
environmental screening stage in order to select the right road alignment. A list of typical
questions that should be asked is outlined in figure 7.2. General information and data that
are required are presented in figure 7.3. Figure 7.4 presents a typical example of an
environmental and social screening procedure.
40
Aspect considered
Environmental and social screening
Characteristics of the project
Objectives of project
Type of project
Scale and size of project
Potential environmental impacts
Nature of project area
Figure 7.2
Issues examined
Questions asked
Expected benefits of project?
Part of a larger development?
First phase of a multistage project?
Compatible with parallel or existing developments?
Conflicts with regional master plan?
New construction?
Re-construction, major rehabilitation, or minor upgrading within
right-of-way?
Work and activities outside existing right-of-way?
Functional classification of road (e.g. expressway, national
highway, provincial road, urban road or local road)?
Length and width of the project area?
Estimated cost of the project?
Expected length of construction period?
Estimated traffic volume?
Area of significant social impact?
Nature reserve or natural parks?
Wildlife reserve or refuge?
Conservation forest?
Biodiversity protection area?
Swamp or wetland?
Watershed area?
River buffer zone?
Areas surrounding lakes and reservoirs?
Springs and aquifer areas?
Water supply areas?
Recreation areas?
Cultural reserve?
Natural hazard-prone zones?
Natural living
environment
Extent of forest destruction?
Degree of habitat intrusion?
Level of biota contamination?
Possibility of disease transmission?
Risk of ecological destabilization?
Natural non-living
environment
Destruction of topography or physical features?
Extent of erosion and loss of productive soil?
Risk of soil contamination?
Possibility of slope failure and mass movement?
Disruption to existing drainage and surface run-off system?
Human environment
Disturbance to agriculture?
Disturbance to economic activities?
Disturbance to human settlements?
Disturbance to residence and workplace?
Level of air pollution?
Level of noise pollution?
Risk of contamination of water bodies?
Amount of spread of dust, debris and waste?
Potential safety hazards?
Impairment of aesthetics?
List of typical questions that should be asked at the environmental and
social screening stage
41
Parameters
Information to be gathered
Introduction
Name of the project
Objectives of this report
Responsible and concerned agencies
Name or organization of the producer of the ESS
Contacted organization during the preparation
Project description
Type of project
Need for the project
Location map
Scale of the project and its associated facilities
Other relevant information
Work plan for construction and operation
Existing environmental
and social conditions
Topography/geomorphology
Soil characteristics
Meteorology and hydrology
Water quality
Forest and wildlife
Land use
Local communities
Socio-economic conditions
Social infrastructure constraints in the study area
Transportation networks
Sources of energy
Environmental and
social impacts
evaluation
Topography/geomorphology
Soil characteristics
Forest
Hydrology and drainage
Water quality
Land use and town planning
Transportation
Communities
Visual quality and aesthetics
Historical and archaeological values
Social services
Use of energy
Action plan for
environmental and
social impacts
mitigation
Figure 7.3
Action programme for mitigating adverse
environmental impacts
Action programme for mitigating adverse social
impacts
General information and data to be gathered at the environmental and
social screening stage
42
New construction:
• National and provincial highways
• Urban and metropolitan roads
• Urban and metropolitan road
betterment outside of right-of-way
• Toll roads and flyovers
YES
Will the proposed road project traverse:
NO
New construction of national and
provincial roads
43
Road betterment outside the right
–of-way for urban and
metropolitan roads
New rural road construction
NO
YES
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
Area of significant social impacts?
Nature reserve?
Wildlife reserve?
Conservation forest?
Biodiversity protection area?
Wildlife refuge?
Protection forest?
Swamp/wetland areas?
Watershed areas?
River buffer zones?
Areas surrounding lakes and reservoirs?
Springs and water supply areas?
Marine and freshwater conservation areas?
Mangrove areas?
National parks?
Nature parks?
Recreation parks?
Cultural heritage sites?
Natural hazard zones?
Steep slope and other fragile areas?
Special cases of minor road improvement on existing roads within rightof-way in sensitive areas should be dealt with on a case-by-case basis
Road betterment within the right-of way, routine and periodic
maintenance
Figure 7.4
Requires full environmental impact
assessment, environmental
management plan, and environmental
monitoring plan
YES
YES
NO
Potentially significant
impacts?
YES
Field study
No significant impacts
Environmental management plan
and
Environmental monitoring plan
Consultation should be held with ongoing
sectoral environmental management plan,
environmental management action and
standard operation procedures
Implementation of standard operating procedure
to mitigate environmental impacts
Typical example of an environmental and social screening procedure
43
7.3
Evaluation of potential environmental and social impacts and prediction
of impacts
Using the results of the screening tasks proposed in section 7.2, a preliminary matrix
screening should be conducted to quickly identify the project which should be the most
ecologically harmonious and environmentally sound and socially acceptable to provide the
best option. The environmental screening takes place on a macro-scale, comparing the
management decisions and potential environmental and social consequences of building a
road with other conceptual solutions, such as restricting private vehicle use, supporting
public transportation, encouraging non-motorized transport modes, and so forth. The
environmental screening should be carried out most efficiently by a team of experts who are
capable of undertaking the work, and who should be fully aware of the general costs and
benefits of each alternative. The application of indicators, such as economic losses and
gains, number of people to be displaced and to be resettled, and loss of value ecosystem
components helps to evaluate the magnitude of the potential impacts.
7.4
National environmental laws and regulations regarding environmentally
and socially sensitive elements and areas
While carrying out environmental and social screening activities, due consideration
should be given to national environmental laws and regulations regarding environmentally
and socially sensitive elements and areas. This will help the environmental screening
process to be carried out smoothly to select the right road alignment which will create the
minimum possible environmental and social impacts.
7.5
Overall national planning and individual projects with environmental and
social significance
At the environmental and social screening stage, studies should be made of the
overall national planning and individual projects with environmental and social significance
similar to those anticipated in the proposed road project. This will help to develop a wellplanned and integrated road infrastructure in close harmony along with other development
projects.
7.6
Recommendations
At the environmental and social screening stage, recommendations for the ESIA
process should be made and directed to the concerned planning and policy-making
specialists, technical experts, environmental specialists, project managers and site
supervisors. Recommendations should also be made about the probable contents of the
ESIA study. These recommendations are needed for the planning, design and construction
of a sound road infrastructure development project.
7.7
Public consultation and public participation
Prior to selecting a preferred alternative alignment, a preliminary public consultation
should be held with all other stakeholders. The focus should be on introducing the project,
outlining possible environmental and social impacts, indicating the planning timetable, and
specifying the guidelines for stakeholders inputs (including specifications on when the inputs
44
are most desirable). The consultation session should bring together the public and all other
stakeholders. Active public participation should be encouraged during the environmental and
social screening stage. Proper public consultation and active public participation will form a
critical basis for deciding what level of ESIA needs to be undertaken.
7.8
Technical standards and benchmarks
Technical standards and benchmarks are required to be established for the proposed
road development project at the environmental and social screening stage to provide the
basis of evaluation for a wide range of environmental and social impacts and their probable
mitigation measures. These should include air and water quality standards along with
permissible noise standards, and public health and safety standards.
7.9
Consultation with experts
At the environmental and social screening stage of road projects, consultation with
different experts pertaining to planning, decision-making, design, construction, operation and
maintenance, environmental monitoring and evaluation is essential. Consultation with the
experts will help to assess the magnitude of the potential environmental and social impacts
of the proposed road project at the environmental screening stage.
7.10
Responsibilities of respective agencies and coordination between them
The responsibilities of respective agencies for the proposed road development
project should be clearly defined at the environmental and social screening stage so that at
the subsequent stages no conflict arises among the responsibilities of the respective
agencies. There should be good channels for active cooperation and coordination among
the respective agencies involved in a road development project.
45
8.
STAGE TWO:
INITIAL ENVIRONMENTAL AND SOCIAL
EXAMINATION (IESE)
8.1
Objectives
The main objective of the initial environmental and social examination is to review the
potential impacts which a proposed road project will have on the natural, human and social
environments. It is a brief statement of key environmental issues based upon readily
available information and data, and is intended for use in the early phases of project
planning.
8.2
Main tasks
The main task of the initial environmental and social examination are given in figure
8.1. The terms of reference of the initial environmental and social examination is outlined in
figure 8.2. The necessary information and data required for the initial environmental and
social examination are shown in figure 8.3.
Main Tasks
To examine the need of a full-scale ESIA study
To identify important issues which must be addressed in
detail in the ESIA process
To prepare the terms of reference
To gather necessary information and to collect necessary data
Figure 8.1
8.3
Main tasks of the initial environmental and social examination
Evaluation of potential environmental and social impacts and prediction
of the impacts
From the information and data collected at the initial environmental and social
examination stage, potential environmental and social impacts need to be evaluated and
future predictions made. This will assist in the development of practical ESIA guidelines to
mitigate the adverse impacts caused by road infrastructure development.
46
Terms of reference for the initial environmental and social examination
Name and address of the person or
institution preparing the project proposal
General introduction
Relevance of the project proposal
Procedures to be followed in preparing
the proposal
Contents
Format
Related policies, acts/laws, rules and
guidelines for the preparation of the
project proposal
Preparation of the terms of reference
Scope of works for the proposal
Format
Time
Estimated budget
Collection of information and data
Consultation with local population
Analysis of data
Anticipated adverse environmental
and social impacts of the main project
proposal and alternatives
Socio-economic
Cultural-religious
Physical-chemical and biological
Implementation parameters of the
selected project proposal
Project area
Design
Technologies
Operational procedures
Timetable
Raw materials
Others
Mitigation measures for adverse
environmental and social impacts of
the selected project proposal
Programme
Techniques
Procedures
Manpower and resource requirements
Monitoring and evaluation of
selected parameters
Programmes
Monitoring techniques and procedures
Evaluation techniques and procedures
Manpower and resource requirements
Other relevant information
Figure 8.2
National
Regional
International
Others
References
Public participation
Terms of reference for the initial environmental and social examination
stage of an ESIA study for road development
47
Initial environmental and social examination parameters
Components
Information to be gathered
Project description
Type and nature of the project
Need for the project
Project location
Project characteristics (length, width, structures etc)
Investment costs
Construction schedule
Present situation of the project
Ultimate stage of the project and related transportation networks
Route alignment
Exact alignment and length of the section passing through the
reserved forest
Reasons why the alignment is unavoidable
Alternatives (if any)
Environmental and social
impact evaluation
Engineering design and
work plan
Action plan for impacts
mitigation measures
Monitoring programme
Recommendations on the
need for full ESIA study
Figure 8.3
Hydrology
Erosion and sedimentation
Deforestation
Terrestrial and aquatic ecosystems
Other important projects in the area
Socio-economic, cultural and religious issues
Other potential environmental and social issues of significant
importance
Movement of materials
Ground clearance (area, location, quantity of excavated
materials, and location for stockpiling)
Excavation works (area, location, quantity, and location for
stockpiling)
Embankment works (area, location, volume, and type of filled
materials)
Drainage structures (adequacy, size, and location)
Methods applied for construction of foundation and superstructures
Effective and practical environmental mitigation measures and
action plan
Emphasis on forest, wildlife and water-birds; hydrology; erosion
and sedimentation; socio-economic and other significant issues
Parameters, frequency, reporting format, and responsible
agencies
Ecologically sound
Technically and financially feasible
Environmentally and socially acceptable
Necessary information and data to be gathered for the initial
environmental and social examination stage of an ESIA study for road
development
48
8.4
Public consultation and public participation
Public consultation is required at the initial environmental and social examination
stage in order to gain input on the potential environmental and social impacts of the
proposed road development project. Public participation needs to be encouraged to create
public awareness of the environmental and social implications of the proposed road
development project and to complement the efforts of governments and other agencies.
8.5
Consideration of other relevant issues
At the initial environmental and social examination stage, due consideration should
be given to the existing environmental laws and regulations regarding sensitive elements
and issues, overall national development planning and individual infrastructure development
projects with enormous environmental and social significance; technical standards and
benchmarks of environmental quality of parameters such as air, water and noise; and
consultation with the local experts. Most important of all is the responsibilities of various
agencies involved and their coordination in carrying out an effective initial environmental and
social examination of various positive and negative environmental and social impacts.
Recommendations should be made for the ESIA process and should be directed to planning
and policy-making specialists, technical specialists, environmental and social specialists,
project managers, contractors and site supervisors. Specific recommendations should also
be made in the development of practical ESIA guidelines.
8.6
Review of the contents of the initial environmental and social
examination report
The contents of the initial environmental and social examination report should be
reviewed by relevant agencies in order to ascertain whether the findings of the initial
environmental and social examination are sufficient or whether a full-scale ESIA study,
recommended at the environmental and social screening stage, is required. If a full-scale
ESIA study is recommended, then the typical components of the ESIA report should be as
per the details given in figure 8.4.
49
Components
Requirements
Executive summary
Concise discussion of significant findings
Recommended mitigation measures
Policy, legal and administrative
framework
Policy guidelines for ESIA preparation
Legal and administrative frameworks for EIA preparation
Environmental requirements of aid agencies and co-financiers
Project description
Concise description of the project’s geographic, ecological, social and
temporal context
Brief description of offsite investments such as access roads, power supply,
water supply, borrow pits and quarries, storage facilities and housing
Full-scale ESIA report
Baseline data
Environmental and social impact
assessment
Analysis of alternatives
Mitigation of adverse environmental
and social impacts and
management plan
Environmental and social
monitoring
Public consultation and public
participation
Figure 8.4
Assessment of project area’s dimensions, geologic and topographical
features
Description of relevant physical, biological and socio-economic conditions
Statement of any changes anticipated before the project begins
Account of current and proposed development activities within the project
area
Identification of major impacts likely to result from the proposed project
Assessment of positive and negative impacts
Exploration of opportunities for environmental enhancement
Identification, estimation and evaluation of available data, key gaps in data
and uncertainties associated with predictions
Systematic comparison of proposed alternatives for investment, design, site
technology and operations in terms of their potential environmental impacts,
capital and recurrent costs, suitability under local conditions, and institutional,
training and monitoring requirements
For each alternative, environmental costs and benefits should be quantified
to the extent possible; economic values should be attached where feasible
and the basis for the selected alternative should be critically stated
Measures should be taken during implementation and operation to eliminate
or offset adverse environmental impacts or to reduce them to acceptable
levels
The management plan should identify feasible cost-effective measures and
should estimate their potential environmental impacts, capital and recurrent
costs, and institutional, training and monitoring requirements. The plan
should also provide details on proposed work programmes and schedules to
help ensure that the proposed environmental actions are in phase with
construction and other project activities throughout implementation
Compensatory measures should be adopted if mitigation measures are not
feasible or cost-effective
Specifications for types of monitoring
Selection of monitoring team
Estimation of manpower equipment and training requirements
Estimation of cost
Recognition of public consultation as the key to identifying negative
environmental impacts and designing mitigation measures
Consultation with affected people and local non-governmental organizations
in at least two stages of the ESIA process: at the initial environmental
examination stage shortly after the ESIA category has been assigned, and
once a draft ESIA report has been prepared
Consultation with the public and their participation, particularly for projects
that displace people and affect livelihood
In projects with major social components, such as those requiring involuntary
resettlement, the consultation process should involve active public
participation in the ESIA process, project development process and should
link socio-economic and environmental issues
Main components of a full-scale ESIA study for the road development
projects
50
9.
STAGE THREE: ENVIRONMENTAL AND SOCIAL IMPACT
ANALYSIS (ESIAn)
9.1
Objectives
The main objective of the environmental and social impact analysis is to make a
detailed quantitative evaluation of the probable adverse environmental and social impacts
caused by road projects (figures 9.1 and 9.2, see following pages). It should include a
comparison of the impacts of the preferred road project with the impacts of any possible
alternative transport project. The analysis should focus on determining the significance of
direct and where applicable, indirect environmental and social impacts of the proposed road
project.
9.2
Main tasks
The main tasks to be performed at the environmental and social impact analysis
stage are shown in figure 9.3.
To collect the baseline data from a variety of existing records, supplemented by
site surveys and consultation with local residents, experts and professionals
from universities and research institutions.
Main Tasks
To give due considerations not only to existing environmental and social
conditions, but also to expected trends in the presence of the road project.
To analyze the environmental and social impacts utilizing the detailed
information and data gathered in both environmental and social screening stage
and initial environmental and social examination stage on specific substantive
parameters covering the natural, human and social environments, and the
activities involved in road construction, operation and maintenance.
To apply standard methods for analyzing, categorizing, ranking and comparing
of the magnitude of different kinds of impacts both environmental and social.
To give due consideration to three approaches – avoidance, mitigation and
compensation for dealing with the adverse impacts of the road development
project.
Development of practical ESIA guidelines for each of the substantive
parameters.
Figure 9.3
Main tasks to be performed at the environmental and social impact
analysis stage
51
Substantive issues
Soil
Environmental parameters
Air
Ecosystem
Landscape
Community activities
Displacement and
resettlement
Social parameters
Environmental and social impacts on substantive parameters
Water
Cultural heritage
Noise
Human health and
safety
Figure 9.1
Environmental impacts
Soil erosion and modification of surface relief of borrow zones
Slope failure and mass movements
Sedimentation of roadside drains and water bodies
Loss of productive topsoil in borrow areas
Soil contamination
Modification of flowing surface water in borrow areas causing
erosion and siltation
Modification of surface and groundwater during construction and
consequent drying and flooding
Water quality degradation by waste materials, and equipment
lubricants, fuels and detergents
Sedimentation of surface water bodies
Air quality degradation – caused by dust and vehicle emissions
generated through construction activity, construction machinery and
vehicular traffic
Adverse impacts on human health
Adverse impacts on flora and fauna
Adverse impacts on the built environment
Damage, fragmentation or loss of habitat and biodiversity
Destruction of vegetation
Disappearance of reproduction and food zones for fish, aquatic and
migratory birds
Contamination of biota
Transmission of diseases
Increase in poaching and subsequent hunting
Destruction of natural relief (caused by major cut and fill)
Change in natural drainage patterns
Destruction of vegetation and trees
Deforestation and desertification
Split community
Disintegration of social activities
Disruption of traditional modes of transport
Loss of roadside community business
Degradation of roadside environment owing to ribbon development
Displacement of both private and public institutions and utilities
Displacement of families, businesses and properties
Poor resettlement arrangements for households, properties and
utilities
Lack of basic utilities in resettlement areas, leading to decreased
well-being of people
Damage of sites, structures and remains of archaeological,
historical, religious and cultural values
Damage to social values (spiritual, political, national or other cultural
significance to a majority or minority group)
Degradation of aesthetic values of historical and religious institutions
(mosques, temples and churches) and cultural monuments
Noise disturbance caused by construction machinery, vehicles and
road traffic
Degradation of human welfare
Vibration of structures
Wildlife disturbance
Transmission of diseases
Contamination of local water supplies
Air pollution
Noise disturbance
Road accidents owing to poor pavement and shoulder conditions
Obstructions/unsafe conditions owing to presence of roadside poles,
ditches, trees, steep slopes and barriers
Poor road signs, markings, intersection layout and traffic control
system
Poor roadside access, parking and bus stop arrangements
Poor or inadequate provisions for pedestrians, cyclists and other
non-motorized road users
Various adverse environmental and social impacts that may be caused
by road development projects on major substantive parameters
52
Construction of roads
Main construction
activity
Stages in
construction
activities
Forest clearance
acquisition of lands
First order
environmental
impacts
53
Higher order
environmental
impacts and so on
Excavation and
cutting
Filling, construction
of embankment
Effects on water
resources (springs,
wells etc)
Effects on hydrology
(water resources),
effects on movement
of water
Depletion of
vegetation
Depletion of
fauna
Effects on
geostability
Effect on climate
Loss of top soil
Soil erosion,
landslides
Drought/floods
Loss of
productivity
Fall in
productivity
Waterloging
Increase in bed
level of rivers
Socio-economic &
political effects
Figure 9.2
Floods
Effects on biotic and
abiotic environment
Floods
Increase in
erosion
Siltation
Effects on
growth of
flora and
fauna
Movement of people,
goods, vehicles
Interference in
the waterway of
river
Generation of
employment
Use of
Generation of
Pollution
Accident
boulders,
socio-economic
gravels,
activities
sands, timber Air pollution Noise
etc from
effects on
Tendency Scouring of
rivers,
climate,
to change
bank
quarries,
health etc
river
forests
course
(more pronounced in urban roads)
Salination/
alkanization
Loss of livestock,
crops, property
Migration from hilly
areas to valley
Construction of
pavement, structure
Effects on
river
ecosystem
Effects on
river bank/
tendency to
change river
course,
geostability,
landscape
etc.
Fall in
productivity
Problems for
reservoirs/dams
Comprehensive flow chart showing various environmental and social impacts caused by road construction
9.3
Consultation with the public and experts
During the environmental and social impact analysis stage, consultation with the
public and experts is required to gain the necessary input in order to analyse properly the
potential environmental and social impacts of the proposed road project. The consultation
will also assist in developing practical ESIA guidelines to mitigate adverse environmental
and social impacts that are anticipated.
9.4
Standards and benchmarks
Appropriate standards and benchmarks need to be established to provide the basis
for environmental and social impact analysis. These include the benchmarks and standards
for air and water quality and allowable noise levels. Other standards should include design
and construction standards, monitoring and regulatory standards, human health and safety
standards.
9.5
Development of practical guidelines
Despite the efforts by international, regional and national agencies, the
implementation of EIA guidelines in road projects has been rather unsatisfactory. A major
reason is the lack of commitment by the relevant authorities to develop appropriate EIA
operational guidelines tailored to local applications. Many countries of the ESCAP region
directly adopted EIA guidelines from developed countries without making any changes to
accommodate the local environmental and social conditions and needs. Most existing EIA
guidelines are too general in nature and are not very specific for implementation in road
development projects. There is, therefore, an urgent need to develop practical ESIA
guidelines for ecologically harmonious, environmentally sound and socially acceptable road
development.
While developing practical ESIA guidelines, due consideration should be given to
public consultation and public participation, national environmental and social laws and
regulations, technical standards and benchmarks, consultation with technical, professional
and environmental experts, and the responsibilities of respective agencies and the
coordination between them.
Recommended activities for environmental and social impact analysis of various
substantive parameters in each stage of the ESIA process are shown in figure 9.4.
Practical ESIA guidelines and recommendations for mitigating the adverse
environmental and social impacts caused by road development on various substantive
parameters are outlined in the following subsections 9.5.1 to 9.5.10.
54
Stages of the ESIA process
Recommendations
Environmental and social
screening (ESS)
Conduct reconnaissance survey of relevant features
the area.
Study existing conditions of substantive parameters.
Consult local residents.
Prepare an ESS report.
Initial environmental and
social examination (IESE)
Collect information and field data to establish baseline
conditions.
Quantify and characterize data collected.
Examine probable environmental impacts.
Consult local residents, experts and professionals.
Prepare an IESE report.
Environmental and social
impact analysis (ESIAn)
Make detailed analysis of field data collected.
Identify and quantify the magnitude of potential
environmental impacts.
Prepare checklists of recommended mitigation
measures.
Prepare an ESIAn report.
Monitoring of environmental
and social measures
(MESM) during
List the parameters to be monitored.
Prepare a detailed monitoring programme.
Select monitoring techniques and procedures.
Estimate manpower and resource requirements.
Prepare a MESM report.
Post-construction environmental
and social evaluation (PESE)
List the parameters to be evaluated.
Prepare a detailed evaluation programme.
Select evaluation techniques and procedures.
Estimate manpower and resource requirements.
Prepare a PESE report.
Figure 9.4
Recommended activities for environmental and social impacts analysis
of substantive parameters in each stage of the ESIA process
55
9.5.1
Soil-related ESIA guidelines
Major soil-related adverse impacts are soil erosion and modification of surface relief
of borrow zones, slope failure and mass movements, sedimentation of roadside drains and
water bodies, loss of productive top soils in borrow areas and soil contamination (figure 9.1).
Soil-related losses include farmers losing crops and land, fishers losing income because of
sedimentation and pollution of water bodies (rivers, lakes and reservoirs) and roadside
dwellers losing their households, properties and businesses when roadside slopes collapse
and mass movements occur resulting in the damage of the road structure itself and roadside
amenities.
Recommended guidelines
Recommended guidelines for the mitigation of soil-related adverse impacts caused
by road development projects are given in figure 9.5.
Figure 9.5
Follow recommended activities as shown in figure 9.4.
Avoid sensitive alignments, such as those, which encompass deep depressions
or steep hillsides.
Minimize areas of ground clearance.
Balance filling and cutting requirements through route choice to avoid the
production of excess spoil materials thereby reducing the need for borrow pits.
Avoid the creation of deep cut slopes and high embankments.
Carry out replantation of vegetation and trees in cleared areas and slopes as
early as possible in the construction process before soil erosion and slope
movement become advanced.
Select vegetation and trees to serve specific bioengineering functions.
Choose the right time of the year, taking advantage of the rainy season.
Protect unstable slopes by shotcreting and geotextiles, reinforced earth
retaining walls and gabions, depending upon the local conditions.
Shape the slope-surface for maximum stability and vegetation seeding
survivability.
Carry out sowing on slopes manually or mechanically (hydro seeding) in areas
where access is difficult.
Provide an appropriate drainage system and terraced or stepped slopes with
vegetal cover to reduce soil erosion.
Convert quarries and borrow pits into water reservoirs, aquaculture or wildlife
habitat.
Convert spoil dumps into roadside rest areas and picnic corners.
Consult the public and encourage their participation in mitigating soil-related
problems.
Maintain close cooperation and coordination among road agencies, road
engineers, environmental specialists and contractors.
Encourage public participation.
Prepare environmental specifications for contractors.
Recommended guidelines for mitigating soil-related adverse impacts
caused by road development projects
56
9.5.2
Water-related ESIA guidelines
Road development projects usually intersect drainage basins and subsequently alter
or modify the local hydrology. Road development can lead to both alterations and
modifications to the surface water and groundwater flows, water table fluctuations, and water
quality degradation (figure 9.1).
Recommended guidelines for mitigating water-resources-related adverse impacts
caused by road projects are given in figure 9.6.
Recommended guidelines
Follow recommended activities as shown in figure 9.4.
Avoid, wherever possible, sensitive areas of water resources such as
aquaculture areas, swimming and bathing areas, recreational areas, irrigation
and domestic water supply intakes by using alterative routes.
Avoid alignments that are susceptible to erosion, such as those crossing steep
slopes.
Adopt mitigation measures that are technically feasible and economically viable
in sensitive areas.
Prepare detailed plans for the implementation and monitoring of the EIA
recommended measures during road construction and post-construction
environmental evaluation for compliance.
Consider relevant legislation and regulations as they affect drinking water
intakes, irrigation water supply, wildlife habitat, flood control and drainage
systems.
Minimize the number of water crossings.
Keep buffer zones of undisturbed vegetation between road sites and water
bodies.
Adopt appropriate protective measures such as vegetal cover, geotextiles,
settling basins, paving, infiltration ditches, stepped slopes, riprap, crib walls,
retaining walls and intercepting ditches to reduce the speed of surface run off.
Drill the necessary number of wells for local residents who previously relied on
surface water for drinking and other domestic uses.
Create replacement habitats for wildlife.
Design the road drainage system to retain water in small dams or maintain a
high water table by raising the inlets to drainage culverts in order to increase
the availability of water for agricultural and domestic uses for many species of
flora and fauna, and for the recharge of local aquifers.
Design retarding basins that reduce run off peaks and improve the drainage of
water in residential and farming areas and also in flood-prone areas.
Maintain close liaison among road engineers, environmental specialists, and
contractors.
Prepare environmental specifications for contractors.
Enforce existing regulations for water quality control.
Figure 9.6
Recommended guidelines for mitigating water-related adverse impacts
caused by road development projects
57
9.5.3
Air-related ESIA guidelines
Road development has tremendous potential for degrading the air quality of nearby
air sheds if proper planning is not implemented. The major sources of air pollutants are the
emissions from construction machinery and vehicles. Major air pollutants (dust, gaseous
emissions and particulate matter) produce air pollution and impart adverse impacts on
human health, flora and fauna and on the built environment (figure 9.1).
Recommended guidelines
Recommended guidelines for controlling air quality-related adverse impacts caused
by road development projects are given in figure 9.7.
Follow recommended activities as shown in figure 9.4.
Select road alignment in such a way as to avoid passing close to housing
estates, schools, hospitals and workplaces;
Provide sufficient road capacity to avoid traffic congestion, even with projected
increases in traffic flow;
Manage the traffic in such a way as to ensure that vehicles operate at peak
efficiency in populated areas;
Avoid placement of busy intersections, tunnel vents and openings near
housing, schools, hospitals, or workplaces;
Avoid steep grades and sharp curves because these promote deceleration and
acceleration;
Plant tall, leafy, and dense vegetation between roads and roadside human
settlements to filter pollutants;
Adopt national and regional strategic and regulatory measures to control air
pollution;
Prepare an air quality management strategy which should include policies,
regulations, and enforcement programmes covering (i) vehicle emissions
standards as well as inspection and maintenance requirements; (ii) retirement
or retrofitting of high-consumption and high-polluting vehicles; (iii) fuel quality;
(iv) management of traffic efficiency; and (v) investment in better mass
transport, such as buses and trains (mass rapid transit systems);
Improve local health-care facilities to help treat pollution-related ailments;
Maintain close liaison among road engineers, environmental specialists and
contractors;
Consult affected people and encourage their participation in the implementation
of mitigating measures.
Prepare environmental specifications for contractors.
Enforce existing regulations for air quality control.
Figure 9.7
Recommended guidelines for mitigating air quality related adverse
impacts caused by road development projects
58
9.5.4
Ecosystem-related ESIA guidelines
Road development if undertaken without proper understanding of the relationships of
various components of the natural biophysical environment can be accompanied by serious
disruption to the ecosystem. Major environmental impacts caused by road development on
the ecosystem include damage to terrestrial and aquatic habitats, habitat fragmentation or
loss, deforestation, loss of biodiversity, disappearance of reproduction and food zones for
fish, aquatic and migrating birds, corridor restrictions, ecological disequilibrium,
contamination of biota transmission of diseases and increases in poaching and subsequent
hunting (figure 9.1).
Recommended guidelines
Recommended guidelines for mitigating adverse impacts to the ecosystem caused
by road development projects are given in figure 9.8.
Figure 9.8
Follow recommended activities as shown in figure 9.4.
Take the necessary steps to accomplish the following: (i) inventory of biotic
and abiotic resources; (ii) estimation of the productivity of the ecosystem
components (terrestrial and aquatic); (iii) description of flora and fauna;
(iv) listing of rare or vulnerable species of flora and fauna; (v) estimation of the
ecological significance of flora, fauna, wildlife and water bodies and ecosystem
variables which are likely to experience changes; and (vi) listing of physical,
chemical and biological indicators to determine quantitatively ecosystem
function and health.
Identify sensitive areas of the ecosystem early in the planning stage so that
alternate routes and designs could be considered.
Wherever possible, locate road development works more than 500 metres
away from sensitive areas to avoid severe impacts on flora and fauna.
Minimize water crossings wherever possible.
Leave buffer zones of undisturbed vegetation between roads and watercourses.
Avoid groundwater recharge areas.
Avoid construction of major roads through national parks or other protected
areas.
Take advantage of opportunities to twin new road corridors with previously
established transport rights-of-way, such as railway lines.
Modify the road cross-section to reduce the impacts on the ecosystem.
Plant trees and vegetation in the road’s right-of-way and adjacent areas to
support local flora and fauna.
Maintain close liaison with road engineers, construction supervisors,
bioengineers, contractor and environmental specialists.
Take steps to provide animal crossings at convenient locations to assist the
migration of animals; fencing or barriers along the roadsides to reduce the risk
of collisions between animals and vehicles; and water crossings (culverted or
bridge crossings) for both standing and running waters.
Prepare environmental specifications for contractors
Enforce existing ecosystem-related protection regulations
Recommended guidelines for mitigating adverse impacts to ecosystem
caused by road development projects
59
9.5.5. Landscape-related ESIA guidelines
Any road development project can affect the surrounding landscape, which
encompasses natural relief, vegetation, watercourses, structures, and other objects of
aesthetic value. A road development project may destroy natural relief (caused by major cut
and fill), change natural drainage patterns, destroy vegetation and trees, and also cause
deforestation and desertification (figure 9.1).
A well-designed road should fit in well with its surrounding landscape if its design
reflects the principles of roadside landscape design. These principles can and should be
applied whether or not the area being considered is one of special physical beauty. The
roadside landscaping will serve to minimize not just the visual disturbance to the landscape
but also the disturbance to the physical functioning of the natural and human ecosystems. In
fact, if applied well, they can contribute to the enhancement of environmental benefits. To
the extent that a road's design is successful in reflecting these principles, it should prove to
be aesthetically more appealing. Recommended guidelines for mitigating the adverse
impacts of road development projects on the landscape are shown in figure 9.9.
Follow recommended activities as shown in figure 9.4.
Follow the natural relief as closely as possible to avoid major cut and fill zones
in road construction.
Reroute if possible to avoid sensitive areas.
Minimize the cutting of trees and removal of vegetal cover.
Recommended guidelines
Avoid recreational and sensitive areas while selecting an alignment.
Avoid
areas of historical interest or areas blocking or cutting off a scenic
view of the landscape.
Design the roadside landscaping to fit in well with local vegetation (trees,
shrubs and hedges).
Maintain roadside vegetation, slopes, and protective structures properly
because they greatly affect the visual appearance.
Reduce roadside eyesores by avoiding the use of too many different types of
noise barriers.
Enforce regulations to control littering, billboards, and storefront advertising
along roads, especially at the entrance to cities or towns, in order to prevent
unsightly proliferation.
Draw separate environmental specifications for contractors to carry out revegetation and other works related to roadside landscape.
Consult local people and arrange for their participation in mitigation works to
protect and preserve the landscape.
Maintain close liaison among road engineers, environmental specialists,
landscape architects, and contractors.
Enforce existing landscape protection related regulations.
Figure 9.9
Recommended guidelines for mitigating adverse impacts to landscape
caused by road development projects
60
9.5.6
Community activities-related ESIA guidelines
The construction of a new road, or the widening and improvement of an existing
road, can cause split communities, disintegration of social activities, disruption of traditional
modes of transport, loss of roadside community business and degradation of the roadside
environment (figure 9.1).
Recommended guidelines
Recommended guidelines for avoiding/minimizing/mitigating adverse impacts of road
development projects community activities are given in figure 9.10.
Figure 9.10
Follow recommended activities as shown in figure 9.4.
Avoid disruptions to social and economic activities that make the community
vibrant and economically sound.
Follow a route far from any human settlement and sensitive area or ensure
changes made to existing roads are minimal.
Minimize the splitting of a community by taking into account local movements at
the road design stage and by making provision for improved crossings or
alternative access routes for community interactions.
Provide signals, intersections, pedestrian underpasses, overpasses, service
roads, and alternate arrangements for local traffic circulation.
Minimize the loss of roadside business activities through collaboration between
the road agency and local organizations responsible for community activities
and welfare.
Provide alternative arrangements where road improvements require the
removal of some local activities from the right-of-way.
Cover roadside drains or purchase additional roadside land for the continued
operation of roadside stalls, customer parking or pick-up areas for informal
public transport services.
Mitigate the effects of bypassing local community business activities by
providing service areas adjacent to the new routes and by encouraging local
communities to make use of the new opportunities provided.
Take proper steps to discourage the migration of businesses that are essential
for the passing traveller since such movement can drain the existing roadside
community activities.
Design roads to encourage long-distance travellers to continue to use local
businesses.
Identify various community activities areas early in the road project, planning
the choice of alternative routes, the planning of temporary traffic diversions, and
the location of work-site camps.
Draft environmental specifications for contractors, ensuring that work-site
camps, construction works, and the lifestyles of construction workers do not
have any negative impacts on the social, cultural and economic activities of
nearby communities.
Give due consideration to legislation on property rights, expropriation
procedures, and compensation requirements along with public participation.
Arrange public hearings and encourage public participation.
Recommended guidelines for avoiding/minimizing/mitigating adverse
impacts on community activities caused by road development projects
61
9.5.7
Displacement and resettlement-related ESIA guidelines
Road development often requires the procurement of privately owned land. This
procurement or acquisition of private land causes the displacement of families and
households, resulting in economic loss and social psychological disruption for the affected
individuals and their families (figure 9.1). Naturally, the greater the number of people
involved, the greater the disruption and loss. The actual valuation of these losses often
proves to be a difficult task. The social and psychological impacts of displacement and
associated costs are more complex and more devastating than anticipated. Social
interactions among neighbourhoods can be disrupted and, in worst instances, can be
destroyed completely by road projects. Typically, road projects cut across communities and
thereby displace them; run through many government jurisdictions displacing many
properties such as post offices, police stations and utilities; and tend to displace a
disproportionately large number of squatters who occupied government-owned land.
Monetary compensation poses a number of concerns in resettlement programmes.
Most notable are the following: valuation of assets, property markets, timing of payments
and manner in which compensation is paid.
Recommended guidelines for mitigating the adverse impacts of displacement and
resettlement caused by road development projects are given in figure 9.11.
Follow recommended activities stated in figure 9.4.
Recommended guidelines
Restore or replace any assets expropriated with adequate financial
compensation.
Wherever possible, restore or replace the assets at a minimum distance from
the previous location to ensure the continuation of their economic activities
under safe conditions for both customers and vendors.
Incorporate the cost of resettlement into the road project’s budget.
Prepare guidelines for displacement and resettlement of the affected people.
Prepare a resettlement action plan.
Prepare carefully the terms and conditions of the contents of the resettlement
plan.
Consult the affected people and encourage their participation for the success of
the resettlement plan.
Draw environmental specifications in such a way as to ensure that construction
works and traffic management do not disrupt nearby ecosystems.
Give due consideration to legislation related to local property rights,
expropriation procedures, compensation and resettlement requirements, public
participation and appeal processes.
Maintain close liaison among the affected people, road agency, engineers,
contractors and environmental specialists.
Figure 9.11
Recommended guidelines for mitigating adverse impacts of
displacement and resettlement caused by road development projects
62
9.5.8
Cultural heritage-related ESIA guidelines
A road development project may have the following impacts on cultural heritage:
damage of sites, structures and remains of archaeological, historical, religious and cultural
value; damage to social value (spiritual, political, national or other cultural significance to a
majority or minority group); degradation of the aesthetic value of cultural and religious
institutions (mosques, temples and churches) and historical monuments (figure 9.1).
Recommended guidelines
Recommended guidelines for mitigating the adverse impacts caused by road
development projects on cultural heritage are given in figure 9.12.
Figure 9.12
Follow recommended activities stated in figure 9.4.
Identify and prioritize cultural heritage sites prior to route surveying.
Pinpoint highly sensitive cultural heritage areas and archaeological sites.
Avoid sensitive cultural heritage areas.
Wherever possible, avoid any road alignment that cuts through known cultural
heritage sites.
Consider possible realignment of the road if an important cultural heritage site
is uncovered during road works.
Raise the level of the road if it is preferable to leave a cultural heritage site
buried beneath the road in some unusual cases.
Prepare a mitigation plan, which should include rules for archaeological
supervision in the construction phase.
Use common mitigative measures such as excavation, erosion control,
restoration of structural elements and rerouting the traffic.
In exceptional cases, if it proves impossible for an alignment to avoid a cultural
heritage site, undertake salvage excavation to relocate artefacts or ruins from a
site as a last alternative.
Prepare a site management plan to identify conservation actions required and,
where necessary, provide guidance on other measures such as salvage or
relocation.
Establish monitoring and evaluation procedures.
Incorporate specific clauses in contract documents to define the responsibilities
of contractors and workers who discover new cultural heritage sites or artefacts,
or who damage known sites.
Initiate dialogue between the road authority and the ministry in charge of
cultural heritage to avoid situations, which either damage the cultural sites or
delay the road project.
To make the mitigation plan effective, include proposals for strengthening the
legal framework and the institutional capacities for the ongoing management of
cultural heritage sites.
Include the necessary environmental specifications in the contract document for
contractors specifying the actions required and the persons responsible.
Incorporate additional clauses in the contract document with respect to any
extra works that may be required for the protection and preservation of cultural
heritage sites.
Consult the local public and encourage their participation in protecting and
preserving cultural heritage sites.
Recommended guidelines for mitigating adverse impacts caused by
road development projects on cultural heritage
63
9.5.9
Noise disturbance-related ESIA guidelines
Road development has the potential to degrade the quality of life if noise disturbance
is not properly dealt with. In road development activities and transport operations, noise is
generated from (a) construction machinery, (b) vehicles, (c) friction between vehicles and the
road surface, and (d) driver behaviour. Noise associated with road development and
transport operation activities degrades human welfare, sonically vibrates structures, and
disturbs wildlife (figure 9.1).
Assessment of the impact of potential road noise relies on an accurate evaluation of
the baseline conditions, a thorough knowledge of the characteristics of the proposed road
development and a good understanding of the composition of roadside dwellers (human
beings and wildlife) and institutions and facilities (schools, hospitals, workplaces and
recreational centres).
Recommended guidelines for reducing/eliminating adverse impacts of noise caused
by road development projects and traffic operation are given in figure 9.13.
Follow recommended activities stated in figure 9.4.
Avoid the noise problem by moving the road alignment or diverting traffic away
from noise-sensitive areas using bypass roads and choosing an alignment,
which minimizes steep and sharp corners, especially at sensitive locations.
Recommended guidelines
Provide barriers around noisy construction machinery and equipment to reduce
construction noise.
Maintain a smooth road surface without grooves and cracks in order to keep the
noise level to a minimum.
While designing a road, avoid steep grades and sharp corners to reduce noise
resulting from acceleration, braking, gear changes and use of engine brakes by
heavy trucks at critical locations.
Erect noise barriers along both sides of the road especially at sensitive areas
containing residential buildings, schools and hospitals.
Incorporate noise protection measures in the road design, construction and
operation stages.
Include environmental specifications in contract documents for contractors and
machine operators for noise reduction in construction, quarrying and hours of
operation, material haulage routes, and permissible noise standards.
Maintain close cooperation and coordination among road
contractors, machine operators and environmental specialists.
engineers,
Enforce legislation and regulatory measures to reduce noise impacts.
Consult the local public and encourage their participation in noise mitigating
measures.
Figure 9.13
Recommended guidelines for reducing/eliminating adverse impacts of
noise caused by road development projects and traffic operation
64
9.5.10 Human health and safety-related ESIA guidelines
Road development is often instrumental in the transmission of diseases; the
contamination of local water supplies; air pollution, noise disturbance, road accidents caused
by poor pavement and shoulder conditions; the creation of obstructions/unsafe conditions
owing to the presence of roadside poles, ditches, trees, steep slopes and barriers; accidents
caused by poor road signs, markings, intersection layouts and traffic control system; poor
roadside access and improper parking; and unsafe conditions owing to poor or inadequate
provisions for pedestrians, cyclists and other non-motorized road users (figure 9.1). Safety is
an issue that must be addressed since road construction and operation-related accidents
result in deaths, injuries, and damage to property which are major public health problems
and a significant factor to the national economy.
Within the spectrum of road safety, unguarded construction machines, ill-planned
construction activities, and the carelessness of the machine-operators may lead to fatal
accidents. Landslides and collapse of unstable cuts above or below a road can prove fatal to
road users who happen to be in the wrong place at the wrong time. In addition, there are
many features of a road itself and its surroundings, which influence the risk of a road
accident or the severity of accidents when they do occur. Examples of these features include
poor pavement and shoulder conditions; presence of roadside poles, trees, ditches, steep
slopes, and barriers; poor road signs, markings, intersection layouts and control; inadequate
or poor roadside access, parking, and bus stop arrangements; and poor provisions for
pedestrians, cyclists and other non-motorized road users.
In order to mitigate the various adverse impacts caused by road development
projects and transport operations on human health and safety, practical guidelines are
needed for the road sector ESIA process.
Recommended guidelines for the protection of human health and for ensuring safety
from the negative impacts caused by road development projects and transport operations
are outlined in figure 9.14.
65
Recommended guidelines
Figure 9.14
Follow recommended activities stated in figure 9.4.
Carry out a comprehensive health awareness campaign to prevent major outbreaks
of communicable diseases.
Include preventive measures such as immunizing the vulnerable population, and
educating people about diseases, how they are contracted, and how to avoid them
by using treated water and keeping living areas cleaner.
Spray water on incoming and outgoing construction equipment and vehicles.
Screen and treat affected local population and migrant workers.
Control the adverse impacts of localized air pollution on human health by choosing
road alignments which avoid human settlements.
Control dust by spraying water during construction and control vehicular emissions
during construction and operation stages.
Take necessary steps to plant dense stands of vegetation and trees along the road
to filter dust and other pollutants.
Prepare a construction site management plan, which should explicitly focus on the
elimination of casual water through “good housekeeping” practices.
Assign higher priority to any accident preventive measures.
Assign higher ranking to the proper design of safety features to prevent accidents.
Examine road design standards and safety equipment specifications to ensure that
design details take account of safety concerns and that specific safety features are
correctly designed and installed.
Draft a proper traffic management plan including details of road signs, markings,
intersection layouts, canalisation of flows, access restrictions, footpaths, bus stops,
and provisions for non-motorized vehicles.
Enforce the mandatory use of seat belts; compulsory driver training and testing;
prohibition and punishment of driving while impaired by drugs or alcohol; traffic
safety education for children; and testing and inspection of all vehicles according to
national vehicle safety standards.
Improve road safety features for non-motorized vehicles.
Provide proper safety features for vulnerable road users -pedestrians, cyclists,
animals, rickshaws etc. – since these could be major sources of traffic congestion
and could lead to a higher number of accidents.
Provide rest areas on heavily travelled roads to ensure the safety of all road users.
Develop a road safety programme, which should be able to teach people proper
traffic safety rules.
Follow strictly environmental specifications to cover correct practices for the
installation of safety features such as guardrails, culvert end-walls, and road signs,
as well as traffic safety requirements for the construction sites during operation and
maintenance.
Enforce good housekeeping practices on work sites and in workers’ camps.
Enforce laws, regulations, and policies related to construction equipment and
vehicle safety.
Coordinate safety programmes, policies, regulations, and priorities with other
agencies in the framework of the comprehensive safety action plan.
Make awareness campaigns about the threats of communicable and vector-borne
diseases associated with road construction.
Enforce legislation to control air pollution and water contamination caused by
various road construction activities and vehicular emissions.
Consult local people and encourage their participation to protect public health and
to ensure safety.
Maintain close cooperation and coordination among local residents, road agencies,
engineers, safety officers, and contractors.
Recommended guidelines for the protection of human health and for
ensuring safety from negative impacts caused by road development
projects and transport operations
66
10.
STAGE FOUR: MONITORING OF ENVIRONMENTAL AND
SOCIAL MEASURES (MESM) DURING ROAD CONSTRUCTION
10.1
Objective
The main objective is to confirm the implementation of mitigation measures
recommended in the ESIA study.
10.2
Main tasks
Main tasks that are required to be performed are given in figure 10.1.
Main Tasks
Selection of the monitoring team.
Scheduling various functional elements and operational activities.
Responsibilities of the monitoring team.
Monitoring methodologies.
Cost estimate
Reporting procedure
Figure 10.1
10.3
Main tasks of monitoring environmental and social measures during
road construction
Recommended guidelines
Main Tasks
Recommended guidelines for monitoring environmental and social measures during
road construction are given in figure 10.2.
Figure 10.2
Select and engage qualified professionals to carry out monitoring.
Prepare a checklist of items/parameters to be monitored.
Adopt standard methodologies for monitoring environmental measures.
Provide sufficient budget for manpower and equipment to carry out the
monitoring of listed parameters.
Maintain close cooperation and coordination among the monitoring team,
project engineers, construction supervisors, environmental specialists and
contractors during monitoring.
Encourage the participation of local people in the monitoring activities.
Analyze and evaluate monitored data.
Maintain transparency regarding analysis and evaluation of data.
Prepare an evaluation report and submit it to the concerned agency for
performance compliance.
Report the results of monitoring in a proper format easily understandable by
concerned personnel and authorities.
Recommended guidelines for monitoring environmental and social
measures during road construction
In addition, recommended guidelines for the contractor to implement properly the
mitigation measures stated in the ESIA study are given in figures 10.3 to 10.5.
67
Environmental issues
Potential environmental problems Recommended mitigation measures
Landslides or other forms of mass
instability on slopes
Slope stability
Erosion or gully formation
Use check dams and bioengineering measures
Areas of deep-seated instability
Relax width and surfacing standards for short lengths as
appropriate
Reduction of soil
Balance cut and fill wherever possible
Tipping away from designated areas
Identify safe tipping areas
Enforce safe tipping
Soil falling in water bodies or being
washed on to farmlands
Take proper measures to prevent soil falling
Compensate the owners of farmlands
Inadequate slope drainage systems
Improve slope drainage systems
Water management
Slope drainage outfalls unprotected
against scour and erosion
Land acquisition
Disruption of domestic or irrigation
water supplies
Loss of land and properties
Construct mattresses, check dams and other protection
measures as necessary
Construct cascades, to be as long as necessary
Soil disposal
Construction phase ESIA checklist
Use civil engineering structures and bioengineering measures
as necessary
Avoid the undercutting of slope toes
Prohibit quarrying in river banks and beds, where increased
flood velocity could give rise to damage
Incorporate measures to resolve these problems
Ensure adequate compensation is paid
Removal of plants
Replace felled trees with new plantations using same species if
appropriate
Plant trees wherever land is available
Damage habitat of wildlife
Avoid damage to wildlife habitat as far as possible
Recreate habitat on marginal roadside land
Plants and wildlife
Abandoned quarries and borrow pits Make quarries safe by regarding slopes and installing protective
Quarries and borrow pits - eyesores and accident-prone areas structures as necessary
Rehabilitate all quarry sites and borrow areas using
bioengineering techniques
Dust
and
air
pollution,
noise
Stone crushing and
Control dust and noise
disturbance
asphalt plants
Relocate the plants or compensate
Air and water pollution caused by the
Ensure safe storage conditions so that there are no losses or
use of any type of hazardous
Hazardous materials
leaks
materials (e.g. bitumen, cement,
paints, explosives, fuels, lubricants)
Ensure that protective clothing and safety measures are used
Check that waste materials (especially rubbish and sewage)
are not polluting water and neighbouring areas
Waste generation
Workers camp
Dust
Cutting trees for firewood and
hunting wildlife
Air pollution
Provide liquid fuel and stoves to workers
Spray water on construction site and road surface frequently
Use local skills even though construction methods need to alter
Ensure contractors use local labour where possible
Negotiate with local people for reasonable alternative alignment
Unemployment of local people
Social issues
Non-participation of local people
Rationalize compensation levels to ensure parity
Disparities in compensation
Conflicts between the project
authority and local people
Safety
Figure 10.3
Listen carefully to people’s problems, try to resolve them
amicably if they are reasonable
Accidents because of non-existence
of safety measures on construction
sites
Provide safety measures around construction sites
Install traffic safety measures such as warning signs,
delineators and barriers
Get specialist advice on road safety from the transport
operation and safety unit
Guidelines for preparing a road construction checklist for mitigating
potential environmental impacts
68
Construction phases
Pre-construction
phase
Installation of work site
Construction phase
Supply and
stockpiling of quarry
materials and borrow
soils
Post-construction
phase
Planting of trees and
restoration of vegetal
cover
Figure 10.4
The contractor shall submit the work site for plan
inspection and define the facilities to be created
The contractor shall limit disturbances to the environment
for the site selected and for residents in the immediate
vicinity.
The contractor shall execute, upon work completion, all
work necessary to restore the site. The project engineer
should prepare the site restoration plan for contractor.
The contractor shall (during the work phase):
(a) Preserve trees during materials stockpiling;
(b) Level stripped materials to facilitate water
percolation and make natural grass planting
possible;
(c) Restore the natural flow to its previous state;
(d) Create run-off recovery ditches and conserve
access ramps, if the quarry is declared fit for use as
a watering point for livestock or residents
The contractor shall, upon the completion of the work and
at own expense, restore the environment around the site
The supervisor or inspector to submit a report certifying
that such site restoration work has been completed
satisfactorily
The contractor shall plant trees and restore vegetal cover
at locations specified, provide the recommended
protection (retaining walls, fencing etc.) supply the
required water and if necessary replace dead trees and
vegetation
The contractor shall provide complete maintenance for a
period of one year after planting including watering,
cleaning out the bed at the foot of the tree etc.
The supervisor or inspector shall note down on the site
record book the number of trees planted, along with the
execution of protection and the digging of beds at the foot
of the trees
This record book shall be used at the official delivery to
evaluate the services actually rendered
Once road construction work has been completed, the
contractor shall indicate on the site map the location/area
where planting trees and restoring vegetal cover were
carried out
Recommended guidelines that need to be incorporated in the tender for
contractors document during construction and post-construction
phases
69
Environmental parameters
Dust/air pollution
Construction phase
Soil erosion/water
pollution
Spray water during construction phase, in the line and earth mixing
sites, asphalt mixing site, and temporary diversion roads. Spray water
in filling subgrade in order to solidify the material and also to prevent
dust
Prevent coal ash and stone dust from dispersing. Cover them properly
in warehouses and piling yards, except where they are to be used
immediately
Cover vehicles delivering materials to reduce spills
Select asphalt mixing plant sites at least 500 metres away from human
habitation
Seal properly mixing equipment, and equip vibrating equipment with
dust-removing devices. Provide masks to operators in order to protect
them from the impacts of dust
Plant trees in slopes and other suitable places along the roadside
Erect gabions (stone walls) and plant grasses on sections with high
filling and deep cutting, rebuild damaged irrigation and drainage
systems by suitable methods
Store and fence properly the construction materials (stones, sand,
cement, coal ash and stone dust) in order to keep them away from
water
Dispose soils properly so as not to block roadside drains and rivers
Build roadside drainage systems construct culverts wherever these are
needed
Take all necessary measures to prevent earthworks and stone works
from impeding roadside streams, irrigation canals or drainage systems
Take all necessary measures to prevent refuse (solid waste) and
wastewater produced in construction camps from entering into drains
and water bodies
Construction camp
Maintain proper hygienic conditions in the construction camps
Provide garbage storage, collection and disposal, and other sanitation
facilities
Supply safe drinking water
Noise
Enforce strictly national noise standards to protect construction
workers from adverse impacts of noise. Provide earplugs to
construction workers. Limit noisy construction activities between 9 am
to 5 pm in areas where there are residences, schools and hospitals
Service construction machinery and vehicles at regular intervals in
order to keep their noise to a minimum level
Protection and
conservation of
eco-resources
Figure 10.5
Guidelines
Avoid using arable lands as earth borrowing sites whenever possible
Advise construction workers to protect natural resources and wildlife
Prohibit them from hunting and poaching wild animals
Make temporary accesses for construction vehicles to avoid
damaging arable lands and cattle-raising grounds
Recommended guidelines to mitigate adverse environmental impacts
during road construction (Part 1)
70
Environmental parameters
Construction phase
Safety
Cultural heritage
Construction
materials and
traffic management
Figure 10.5
Guidelines
Install lighting devices and safety signal devices in the temporary
access during construction to ensure safe construction. Enforce
rigorous traffic rules and regulations in these temporary accesses
Adopt effective safety measures during construction
Notify immediately the relevant local department if valuable or
invaluable articles such as coins, utensils, artifacts, structures, or
other geographic or archaeological relics are discovered
Arrange supervision of the excavation by an archaeologist to avoid
any damage to the relics
Use local materials as much as possible so as to avoid long
distance transportation, especially that of earth, sand and stone
Construct temporary access at the interchange of the highway and
other roads
Adopt efficient traffic management system in order to avoid traffic
jams
Arrange delivery of materials in advance in relatively leisurely
season of traffic
Prepare a transportation plan of materials to avoid delivery of them
at peak hours, especially on existing roads
Recommended guidelines to mitigate adverse environmental impacts
during road construction (Part 2)
71
11.
11.1
STAGE FIVE: POST-CONSTRUCTION ENVIRONMENTAL AND
SOCIAL EVALUATION (PESE)
Objectives
The main objectives are (a) to determine whether the proposed mitigative measures
served their intended functions, and (b) to provide feedback to the project developer
regarding the effectiveness of the ESIA recommended measures for mitigating adverse
environmental and social impacts.
11.2
Main tasks
The main tasks to be performed during post-construction environmental and social
evaluation are given in figure 10.1.
Listing of parameters to be evaluated.
Selection of the evaluation team.
Main Tasks
Adoption of standard methodologies.
Estimation of manpower and resources required.
Encouragement of public participation.
Compilation and analysis of monitored data.
Evaluation for compliance.
Figure 11.1
11.3
Main tasks of post-construction environmental and social evaluation
Benefits
The broader benefit of post-construction evaluation is that, in the long run, it will
convert the ESIA into a more accurate and useful tool to achieve sound, rational and
sustainable road development.
11.4
Methodologies and best-practice guidelines
There are currently no standard methodologies or best-practice guidelines available
for carrying out post-construction evaluation. There are a number of obstacles to postconstruction evaluation created by the general perception of, and attitude towards, ESIA by
road developers, competent authorities and other players in the ESIA process. On the
developer’s side, the cost of in-construction monitoring and post-construction evaluation is
frequently prohibitive. There is, therefore, a general lack of interest in the benefits that can
be accrued following the decision from a properly implemented and audited ESIA for road
development. The perception that post-construction evaluation merely highlights the
inadequacies of ESIA and the frequently adversarial nature of the process make it difficult to
enhance its profile. Furthermore, issues of confidentiality and access to data also cause
difficulties.
72
On the competent authority’s side, the current focus of most road-developmentrelated ESIA processes on, and preoccupation with, the pre-decision stages and
determination of the application invariably diverts attention away from the post-construction
monitoring follow-up and evaluation, and also from long-term environmental management
objectives. Many competent road authorities often see the post-construction evaluation as a
threat to, and criticism of, the decision-making process. Furthermore, resources are often
limited in many road development organizations, which again severely hamper postconstruction follow-up activities.
11.5
Recommended guidelines
Recommended guidelines for successful post-construction environmental and social
evaluation are given in figure 11.2.
Recommended guidelines
Prepare a checklist of items/parameters to be monitored for compliance
evaluation.
Adopt standard methodologies for post-construction monitoring and evaluation
processes.
Figure 11.2
Engage qualified professionals to carry out step-wise post-construction
monitoring activities and compliance evaluation.
Provide adequate resources (manpower, equipment and money) for carrying
out proper monitoring and evaluation exercises.
Encourage public participation in post-construction monitoring activities.
Maintain close liaison among monitoring personnel, road developers and other
relevant personnel and authorities.
Maintain transparency regarding the true nature of the monitored data.
Analyze and evaluate the monitored data.
Prepare a monitoring report and submit it to the concerned authority for
performance compliance.
Recommended guidelines for post-construction environmental and
social evaluation
73
12.
SUMMARY, CONCLUSIONS AND RECOMMENDATIONS
This chapter presents a summary, conclusions and recommendations of the report.
It summarizes the rationale of the study and the approach adopted in the analysis. The
conclusions describe the findings of the study.
Recommendations are made for
implementation procedure of the new concept of the multistage ESIA process.
12.1
Current state of environment and status of EIA implementation in the
ESCAP region
This study reviews the available reports and surveys, including three recently
conducted studies by ESCAP, and analyses the road-development-related impacts on the
environment that have taken place in the ESCAP region. The following observations have
been made:
•
While there exist various forms of adverse impacts on the natural environment in the
region, the negative effects of road development on the social environment are also
highly significant. Undesirable social consequences in terms of health, safety,
economic well being, security, community cohesiveness, social values, and cultural
heritage have been observed. In the ESCAP region, the proportion of such adverse
social consequences is no less than that of the impacts on the natural environment.
•
Despite the laws and regulations enacted in various ESCAP member countries, the
state of EIA implementation in road projects was unsatisfactory in the region as a
whole. The roles of agencies responsible were not well defined, resulting in a severe
lack of coordination and monitoring. EIA implementation tended to be cursory and ad
hoc with no continuity and follow-up. Compared with developed countries, there was
relatively little commitment from the governments and public agencies of the region.
•
Of those road projects in the ESCAP region that some degree of EIA implementation
was made, the emphasis has been concentrated on engineering details during the
design and construction phases. EIA requirements were not considered in every
stage of the road development cycle. The EIA process was often initiated only after
the master plan had been finalized, and ended together with the construction phase
of the road project. Late initiation of the EIA process has greatly limited its
effectiveness and benefits, while not carrying out post-construction monitoring and
evaluation was equivalent to ignoring the long-term environmental and social impacts
which have proven to have significant consequences in the region.
•
The degree of environmental awareness was low among the highway professionals,
officials of highway authorities and related government agencies. EIA requirements
were not considered to be of primary importance in road project planning, design and
construction. Most government officials, consultants and contractors took EIA
procedures and requirements as merely a formality to be executed for project
approval and work endorsement.
•
The quality of EIA reports for road projects in the ESCAP region was unsatisfactory.
This could be attributed to the lack of qualified professionals and the general
absence of relevant environmental and social data. There were simply not enough
trained and qualified professionals and technical personnel to support the
74
implementation of EIA for road projects. Historical and planning data were
incomplete, and records of completed projects were often not available.
•
None of the countries in the ESCAP region has a comprehensive set of guidelines for
highway and environmental agencies to effectively perform the EIA process. Most
highway or environmental authorities have adopted directly rules and guidelines used
in developed countries. This has resulted in difficulties in implementation because of
differences in technology and practices, unique local conditions, as well as political
and social environments.
•
Public participation in the EIA process of road projects has been very low in the
ESCAP region. Very few, if any, road projects in the region were known to have
seriously incorporated public opinions and input into the planning and design of road
projects. The direct reasons for the insignificant public involvement were (a) the lack
of interest on the part of the authorities and the officials in charge, (b) the shortage of
funds allocated, and (c) the mechanisms and formats of public participation were
inappropriate and ineffective.
In general, the overall situation of EIA implementation in the ESCAP region is
unsatisfactory. Most ESCAP member countries do not possess the required institutional
framework and expertise to implement EIA fully and effectively. The relatively low level of
environmental awareness and the lack of commitment of decision makers, planners and
government officials provide further obstacles to the implementation of EIA for road
development projects.
12.2
Orientation of the analysis
The main focus of the study is to address the EIA implementation issues
encountered in the ESCAP member countries, analyze them and propose ways and means
by which the problems could be overcome to achieve an effective EIA implementation in the
ESCAP region. Having examined the major EIA implementation weaknesses and problems
observed in various member countries of ESCAP, as has been summarized in section 12.1,
it is apparent that many of the problems encountered in EIA implementation in the ESCAP
region are rather different from those in industrialized nations. Procedures that work in
industrialized nations have been shown to be ineffective in many ESCAP member countries.
New concepts and procedures need to be introduced in order to address the weaknesses
and problems identified.
The study proceeds to single out the critical areas in need of improvement, and
proposes measures by which improvement in EIA implementation could be achieved. The
following five main areas for improvement have been identified:
(1)
There is a need for equal emphasis on the social and environmental impacts of
road development projects. To correct the current tendency within the region to
focus only on the engineering aspects of environmental impacts, it is proposed that
the term EIA (environmental impact assessment) be replaced by ESIA
(environmental and social impact assessment), so that the deserved emphasis on
social impacts will not be ignored in the impact assessment of road development
projects.
(2)
There is a need for a multistage ESIA framework to ensure that appropriate
environmental and social impact assessment is made at every phase of the entire
road development cycle. It is important that ESIA is initiated early to be part of the
75
road project conception and planning stage. It is equally important that the ESIA
process is continued beyond the end of road construction into the postconstruction monitoring and evaluation phase.
(3)
There is a need for practical guidelines tailored for local applications to be
developed. The availability of appropriate guidelines helps to enhance the
effectiveness of ESIA implementation locally. Well laid out guidelines ensure that
proper procedures are followed and adequately applied to achieve the required
results of acceptable quality.
(4)
There is a need for an improved institutional framework and procedures. This is
essential in tackling the various institutional problems highlighted in section 3. The
legal framework must be properly set out to define the responsibility and
accountability of various agencies and parties involved in the ESIA process. This
will also pave the way for effective working procedures and coordination among
different agencies.
(5)
The level of public participation in the ESIA process in the ESCAP region is rather
low and there is a need for a much higher level of public participation in order to
achieve a sustainable road development programme. It is necessary to effectively
address this issue from both the authority’s and the public’s perspective.
The analysis of the study is divided into two parts: Part one presents the concept of
the multistage ESIA framework and Part two presents guidelines for the implementation of
the multistage ESIA process. In Part one, the need to give equal emphasis to the natural and
human environments is emphasized. The introduction of the ESIA concept ensures that this
is achieved in a systematic fashion. The logical flow of the proposed ESIA process is
presented in the context of the multistage framework. The following five stages of the ESIA
process are defined:
•
•
•
•
•
Environmental and social screening
Initial environmental and social examination
Environmental and social impact analysis
Monitoring of environmental and social measures
Post-construction environmental and social evaluation
Within the structure of the multistage ESIA framework, measures to overcome the
various weaknesses and problems identified for the ESCAP region (see section 12.1) are
proposed and elaborated. Special attention is devoted to the following aspects:
•
•
•
•
Development of effective institutional infrastructure and legal framework
Increase in the level of public participation
Development and management of databases for ESIA
Procedures in implementation and monitoring of ESIA
Part two of the report develops detailed guidelines, which provide additional details of the
multistage ESIA concept. Guidelines are presented in line with the five-stage framework,
providing guidance on the implementation of the ESIA process. For each stage of the ESIA
process, the guidelines have been developed emphasizing the following aspects:
•
•
•
Main tasks and activities to be undertaken
Executing and approving authorities involved
Roles and responsibilities of authorities, agencies and other parties involved
76
•
•
•
•
•
Accountability and enforcement procedures
Reporting and coordination arrangements
Procedures for public involvement
Data requirements
Expected output
12.3 Conclusions and recommendations
This study has introduced two new concepts for the purpose of enhancing the
effectiveness of EIA implementation in ESCAP member countries. The first is the adoption of
the new term ESIA (environmental and social impact assessment) to replace the traditional
term, EIA. It conveys the message that equal emphasis should be placed on the natural as
well as the human environments in the ESIA process. The aim is to eliminate the
misconception of many professionals and government officials in the region that the main
concern of EIA is to mitigate the negative impacts of road projects on the natural
environment. This report has provided sufficient evidence that ignoring the impacts on the
human environment would lead to grave consequences that affect a large population base
over an extended period.
The second concept introduced is the multistage framework for implementing the
ESIA process. The analysis presented in this report has shown that a multistage ESIA
framework would offer a workable mechanism to intimately incorporate the process of ESIA
analysis into the road development cycle. By dividing the ESIA process into five stages, it is
possible to logically link up the five ESIA stages with the different phases of the road
development cycle. The scope of and activities in each of the five stages are clearly defined,
and guidelines have also been established to offer guidance on how the activities in each
stage should be conducted.
The multistage ESIA process offers a systematic approach to overcome most of the
major problems currently encountered in many of the ESCAP member countries. It provides
practical mechanisms to strengthen the legal framework, institutional coordination and
professional accountability. Adhering to the multistage ESIA framework will ensure that the
ESIA process will begin during the very early stage of the road-planning phase, thereby
minimizing the chances of major planning “errors” in respect of the preservation of the
natural and human environments. By following through the multistage ESIA process, one is
also assured of continuity of ESIA implementation right to the post-construction evaluation
and monitoring stage of road development.
An important feature of the multistage ESIA process is the emphasis on public
participation in each stage of the process, right from the first stage at the beginning of the
road development cycle. The lack of public participation is one of the most serious
weaknesses of road development and EIA implementation in the ESCAP region. Application
of the proposed multistage ESIA procedure will be an effective means to promote increased
involvement of the general public, affected residents and businesses, consultants and
professionals in the ESIA process in the ESCAP region.
Raising the general level of environmental and social awareness in the ESCAP
region at large is another major issue of urgency. Implementation of the proposed multistage
ESIA procedures in itself will be an enriching experience for the people involved in the
process. It will go a long way in heightening the level of awareness of the need for ESIA. All
the people involved, ranging from high level decision makers, government officials,
professionals, to the general public will appreciate and benefit from exposure to the ESIA
process.
77
As the concepts outlined in this report are new, some form of familiarization
programme is required before even a trial implementation. A two-step familiarization
programme is recommended. The first step of the programme should logically be one
involving the decision makers and planners of the various ESCAP member countries. It
would serve as a familiarization-cum-dialogue session to gather comments and feedback,
and to seek endorsement on the proposed concepts. The second step involves country-level
workshops targeting professionals and officers of prospective ESIA executing and
authorizing agencies. Country-level workshops are necessary because the institutional
structure, engineering practices, cultural and social values, as well as major ESIA issues
vary from country to country. The emphasis of the ESIA process, including mitigation
schemes and detailed implementation procedures, is likely to be different from one country
to another. A country specific workshop tailored to the needs of the country concerned will
serve well to develop a multistage ESIA framework to achieve the best results.
78
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